Work Location:

Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

KEY ACCOUNTABILITIES

CUSTOMER

• Provide Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner

• Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs

• Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders

• Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate

SHAREHOLDER

• Contribute to various activities and processes as assigned

• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate

• Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area

• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high risk activities as necessary

• Conduct internal and external research projects; support the development / delivery of presentations / communications to management or broader audience

• Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices

• Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists

• Acquire and apply expertise in the discipline, provide guidance, assistance and direction to others

• Identify, recommend and effectively execute standard practices applicable to the discipline

• Adhere to internal policies/procedures and applicable regulatory guidelines

• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts

• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest

• Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit

• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques

• Participate in personal performance management and development activities, including cross training within own team

• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities

• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.

• Contribute to a fair, positive and equitable environment that supports a diverse workforce

• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• Provide specialized analysis, non-standard reporting, and operational support to Compliance

• Require a comprehensive understanding of a range of product and services, processes, procedures, systems and concepts within their own and related areas of specialty

• Recommend problem resolution for issues that have been escalated, and/or escalate to appropriate level where further clarity or interpretation is required

• Complete work within specifically defined parameters with guidance / direction from management as necessary

• Require solid knowledge of the Compliance function and interaction points with other related areas as well as regulatory issues/ requirements for jurisdictions supported

• Generally reports to a Manager

EXPERIENCE & EDUCATION

• Knowledge of Equities, derivatives and Futures is required

• Relevant professional designations and/or certifications as required

• 2+ years of experience in financial services is required

• Undergraduate degree preferred

• Relevant Trade Surveillance experience is preferred

• Knowledge of Canadian marketplace mechanism is preferred

• Project management experience is preferred

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet