Job Description

Company OverviewOur 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 well-being across four core pillars - physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they\'re more likely to do their best.Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their 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 including medical, dental, vision & mental health coverage, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.How We Work
At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: Hybrid, Onsite and Primarily Remote. Wherever our colleagues are working, they\'ll always have access to the TD community and experience our culture of care.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. 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.Department OverviewThe 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

Job RequirementsProficiency requirements and skills:

• Familiarity with CIRO and applicable Securities Commission rules
• Familiarity of capital markets structure and/or operations
• Proficient in Microsoft Office suite of applications
• Comfortable in a trade desk environment and communicating with front office staff members
• Excellent 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

Hours37.5Job DetailsThis position is responsible for assisting in the execution of the compliance program and registration activities for TD Securities (TDS) Canadian Equity, Fixed Income & Investment Banking business lines. This position will report to the Senior Manager, Canadian Markets Compliance. More specifically, the role shall provide a major contribution to the overall prevention and detection of reputational, financial, and regulatory risks related to TDS, with responsibility for high-level compliance oversight services as well as all related monitoring activities. Primary Responsibilities:

• Manage and maintain the registration process for TD Securities Inc employees that are subject to regulation under regional regulatory authority and/or as members of Self-Regulatory Organizations.
• Intake all Outside Business Activities inputted by TDSI Employees.
• Provide high quality service in all internal customer interactions.
• Act as a point of reference to applicants, existing registrants, business units, compliance colleagues, and HR practitioners regarding registration and industry education matters.
• Monitor applications for potential conditional registrations (i.e. applicants with criminal records, bankruptcies, garnishments, civil suit involvement, etc.) and bring to management\'s attention.
• Prepare submissions to report material changes to regulatory bodies for registered persons.
• Prepare submissions to report terminations of registered persons, and conduct additional research with HR Practitioners and/or business units as required.
• Track post-licensing and continuing education requirements as required, and report to regulators.
• Maintain various electronic records, including secure web-based applications, Excel spreadsheets, TD legacy databases, while leveraging the REDS database.
• Act as backup for responding to time-sensitive regulatory inquiries including investigations, preparing documentation, interviewing parties involved, liaising with different lines of businesses within the organization, assessing risk to TDSI, and all follow-up with the regulators.
• Develop and maintain relationships with counterparts at each of the relevant Canadian Securities Regulators and maintain a high level of awareness of compliance related changes and developments in the Securities industry.
• Monitor adherence to internal TDS Compliance policies and procedures to ensure that this part of the TDS compliance function is effective; escalating any significant issues to Compliance management on a timely basis in order to ensure appropriate action is taken in accordance with regulatory requirements and internal protocols. The role requires ongoing collaboration with peers and staff within the TDBG group.
• Participate in the development of regulatory educational training sessions for the front office departments supported by TDS compliance.
• Maintain databases of regulatory violations and inquiries to determine patterns and potential deficiencies.
• Provide advice and counsel to applicants, existing registrants, business units, compliance colleagues, and HR practitioners regarding registration and industry education matters.
• Assist in preparing submissions to register accredited individuals of the TD Securities business line and monthly reporting.

Workplace ModelHybridInclusivenessOur Commitment to Diversity, Equity, and Inclusion
At TD, we\'re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We\'re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.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.How We\'re Helping Make an Impact in Communities
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That\'s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It\'s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.We look forward to hearing from you!Business LineCorporateJob Category - PrimaryAnti-Money Laundering / Compliance & Regulatory RelationsJob Category(s)Anti-Money Laundering / Compliance & Regulatory RelationsJob FamilyCompliance Governance and OperationsTime TypeFull TimeEmployment TypeRegularPay DetailsWe\'re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with your recruiter and ask compensation related questions, including pay details for this role.Careers Web Site CitiesCanada-Ontario-Toronto

TD Bank