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:

Job Description

Provide objective guidance, support, and advice to the Canadian Fixed Income business to promote strong Compliance controls and processes are in effect to mitigate inherent associated risks. Contribute to the development and implementation of Compliance programs related to all aspects of Compliance laws.

KEY ACCOUNTABILITIES

CUSTOMER

• Assist in the development and implementation of appropriate Compliance policies, processes and controls

• Facilitate the periodic Compliance risk and self-assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework

• Monitor that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion

• Guide and complement the assigned portfolio in terms of financial, regulatory and risk management requirements

• Interact with control functions within the organization

• Develop analysis and insights, prepare and deliver management reporting necessary to promote accurate and thorough measurement of the risk factors present in various products

SHAREHOLDER

• Update business line policies and Compliance Team procedures

• Analyze Compliance requirements and establish they are properly written into requirements for business projects and approved at the appropriate levels

• Work with business management, and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations

• Keep abreast of emerging issues, trends, and evolving regulatory requirements in the Compliance industry and assess potential impacts

• Coordinate with other Compliance partners and business governance and control partners to promote consistency in the application of Compliance programs and standards across the enterprise

• Support in determining risk exposure, mitigation, and controls for new products, marketing campaigns, and expansion of existing programs

• Support the enterprise-wide annual risk assessment for TD Fixed Income businesses

• Support the business lines with compliance/risk controls and periodically evaluates risk mitigation efforts to make adjustments as risk/department influences change

• Protect the interests of the organization – identify and manage risks, and promote the prompt and thorough resolution of escalated non-standard, high risk issues

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 promote timely communication of issues/ points of interest

• Provide thought leadership and/ or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business

• 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 team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.

• Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships.

• 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

• In-depth knowledge / expertise in Compliance and working knowledge of Fixed Income securities and broader related areas

• Provide advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise

• Integrate the broader organizational context into advice and solutions within the Compliance area

• Understand the industry, competition and the factors that differentiate the organization

• Lead projects of moderately to complex risks and resource requirements; may lead end-to-end processes or functional programs

• Contact for business management, external/internal auditors, dealing with non-routine information

• Recommend and implement solutions within own area of responsibility

• May need to coordinate / integrate work with other areas as needed

• Identify and lead problem resolution for complex requirements related issues at all levels

EXPERIENCE & EDUCATION

• Undergraduate degree and/or relevant professional designations or certifications as required

• 5+ years securities industry experience – preferably with fixed income products

• Strong knowledge of Canadian Securities Market would be an asset

• Strong knowledge of SRO and Provincial Securities Rules relating to fixed income

PREFERRED

• Canadian Securities Industry (CSI) Courses would be an asset

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