Compliance Governance - Toronto, Canada - TD Bank

TD Bank
TD Bank
Verified Company
Toronto, Canada

1 month ago

Sophia Lee

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Sophia Lee

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Description

Compliance Governance & Operations Analyst II:


BR

Job Category - Primary

  • Anti-Money Laundering / Compliance & Regulatory Relations

Work Location

  • TD Centre
  • South 79 Wellington Street West

Employment Type

  • Regular

City

  • Toronto

Time Type

  • Full Time

Province/State

  • Ontario

Hours

  • 37.5

Workplace Model

  • Hybrid

Pay Details

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 Details

  • Support the development and execution of the PEAR project (Equity Aggregation)
  • Perform regular monitoring of equity aggregation against regulatory thresholds for TD Bank and affiliates
  • Provide early warning notification of approaching threshold triggers to the business and stakeholders
  • Advise business and other stakeholders when disclosure requirements have been triggered and assist in the reporting and filing process as necessary
  • Responsible for making recommendations regarding the management of compliance with the aggregation requirements and disclosure/reporting requirements
  • Work closely with various partners to resolve issues, streamline processes and implement solutions
  • Consistently exercise discretion in handling correspondence, information and all matters of confidentiality; raise issues where appropriate
  • Update and send through the Information Barriers Compliance System the Restricted Lists for trading and research.
  • Maintain uptodate lists of employees in the Information Barriers Compliance System for appropriate coverage.
  • Conduct recurring reviews for safeguarding ecommunications surveillance, project folder access and trading reviews. Identify alerts and issues that require further review or escalation by manager and AVP.
  • Assist with maintenance of need to know lists and grey list certifications.
  • Administer compliance controls within the department and the business unit and provide suggestions for improvement as required to resolve concerns.
  • Assist with projects as assigned.
  • 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 realtime deal flow.
  • Foster a cooperative working relationship with business unit partners and key regulators.
  • Participate in industry forums and committees where applicable.

Job Requirements

Proficiency requirements and skills:

  • Strong knowledge of Securities Rules related to insider trading and material nonpublic 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:

  • 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

Additional Information

  • University degree
  • Minimum 2 years compliance experience within a financial institution or bankowned dealer

Company Overview

Our Values

At TD we're guided by our purpose is to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior.

In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care.

No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.


Making Your Well-being a Priority
A supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their we
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