Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$76,800 - $115,200 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. 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

• Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations

• Licensing and registration requirements

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

Job Description

This position is responsible for managing TDS compliance program with regards to regulatory rules, firm policies and procedures affecting the firm's Canadian Markets Equity and Listed Derivatives. This role will perform reviews for MX LOPR and work closely with different stakeholders on timely daily LOPR submission to MX. Additionally, Senior Analyst will be responsible for reviews pertaining to DEA/RA clients. Another key dimension of this role will be to perform limit reviews for TDS Automated Order Systems and Trading Systems. This position will report to the Senior Manager, Compliance Business Oversight.

Primary Responsibilities:

• Perform LOPR Options and Futures reviews which would include data validation and LEI testing.

• Perform limit and account documentation reviews for DEA/RA clients

• Perform annual review of Automated Order Systems, Trading System Risk Limits and Single Stock Circuit Breaker Limits.

• Prepare and present compliance report to the equities and listed derivatives best execution committee meetings.

• Update relevant review sections of the Compliance Procedures Manual.

• Monitor adherence to internal TDS Compliance policies and procedures

• Escalate any significant issues to Compliance management on a timely basis

• Promoting a compliance culture within the firm

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

Job Requirements

Proficiency Requirements and Skills:

• A strong familiarity with equities and listed derivatives products and trading requirements

• Experience with IIROC, MX, Bank of Canada and applicable Securities Commission rules and regulations.

• Comfortable in a trade desk environment and communicating with various Lines of Businesses including front office staff members

• Strong communication skills, both written and oral

• Strong personal integrity in dealing with confidential and sensitive information.

• Self-motivated, confident, and capable of working both independently and in a team environment

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

• 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

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

• Ability to think critically and make decisions

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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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