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:

Department Overview

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients.  This is accomplished by:

• Conducting monitoring and surveillance

• Providing training and education

• Liaising with regulators

• Promoting a compliance culture within the firm

• Taking preventative measures to ensure compliance with the rules and regulations

• Reviewing new business opportunities, such as new products or markets from a compliance perspective

Job Description

• Act as a subject matter expert with respect to the Control Room's electronic and voice communication process and accompanying daily reviews, escalations and reporting. 

• Drive changes to policies and procedures in this communication space and be able to identify alerts/triggers that require further review and/or escalation and be able to report and document all actions taken.

• Collaborating with vendor, compliance and business partners to maintain and improve these surveillance platforms.

• Update and send through the Information Barriers Compliance System the Restricted Lists for trading and research.

• Maintain up-to-date lists of employees in the Information Barriers Compliance System for appropriate coverage.

• Assist with maintenance of need-to-know lists and grey list certifications.

• Escalate issues identified to business unit management and monitoring for resolution.

• Act as a liaison administering issues between departments.

• Assist in identifying compliance requirements that relate to maintaining testing documentation and records.

• Administer compliance controls within the department and the business unit and provide suggestions for improvement as required to resolve concerns.

• Assist with responses to inquiries from regulators and internal auditors.

• Assist with projects as assigned.

• Assist to maintain and enhance policies and procedures.

• Provide coverage on Senior Compliance Officer functions relating to the Grey List.

• Compliance and real time support and advice to business areas within Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity Capital Markets), Global Credit and Debt Capital Markets including real-time deal flow.

• Foster a cooperative working relationship with business unit partners and key regulators.

• Participate in industry forums and committees where applicable.

Proficiency requirements and skills:      

• Strong knowledge of Securities Rules related to insider trading and material non-public information

• Ability to work independently, think critically and make decisions                     

• Excellent communication skills, both written and oral

• Ability to deal with staff and management at all levels in TD Securities and TDBG

• Ability to work under pressure and meet deadlines

• Strong personal integrity in dealing with confidential and sensitive information

Other Qualifications/Skills/Experience: 

• Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities

• Familiarity with ISM or ability to learn new systems

• Ability to manage and prioritize multiple projects, many with tight deadlines

• Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management

• Completion of Canadian Securities Course (CSC), Traders Training Course (TTC), and Conduct and Practices Handbook (CPH) desirable but not required

• Completion of other industry courses desirable but not required

Education and Accreditation

• University Degree

• Minimum 2 years compliance experience within a financial institution or bank-owned dealer

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:

N/A.