Job Description

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Department Overview

The TD Securities (TDS) 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 Requirements

Proficiency requirements and skills:

• Min 3-5 years broker dealer experience
• A strong familiarity with fixed income 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
• 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
• Detail oriented, organized, attention to detail and results driven
• Exceptional analytical skills with problem solving abilities
• Solid technology skills

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

Hours

37.5



This position is responsible for managing TDS compliance program with regards to regulatory rules, firm policies and procedures affecting the firm\'s Canadian Markets fixed income sales, trading, and transaction reporting. This position will report to the AVP, Compliance Advisory, Canadian Markets.
Primary Responsibilities:

• Provide real-time compliance advice and support to fixed income sales, trading, and support functions.
• Collaborate with front office, operations, technology, credit and market risk personnel regarding fixed income compliance and/or regulatory issues
• Manage all transaction reporting issues affecting the Firm\'s fixed income businesses, including the communications with regulators regarding remediation.
• Manages TD CDOR regulatory reporting to the Administrator, the Regulator and various internal executive committees.
• Conduct targeted monitoring reviews in accordance with the Firm\'s Compliance Monitoring program
• Prepare and present compliance report to the fixed income best execution committee meetings.
• Assist in the Annual Trade Desk Risk Assessment with the Fixed Income business
• Provide coverage for fixed income regulatory inquiries and investigations
• Develop and/or enhance compliance policies and procedures relating to the fixed income businesses.
• Assist with regulatory examinations or internal audits
• Second line for identifying trending operational issues that may create regulatory risk
• Participate in compliance training to front office, operations, and technology
• Effectively work with teams across multiple business entities in a fast paced environment
• Reviewing new business opportunities, such as new products or markets from a compliance perspective
• Cross train across Compliance Advisory to ensure team coverage

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

Additional Information

• MS Office Suite - strong MS Excel skills
• ISM
• Confluence Page
• JIRA
• FIS
• Calypso

Hybrid working model - minimum 2 days in office.

Business Line

Corporate

Job Category - Primary

Anti-Money Laundering / Compliance & Regulatory Relations

Job Category(s)

Anti-Money Laundering / Compliance & Regulatory Relations

Job Family

Compliance Business Oversight

Time Type

Full Time

Employment Type

Regular

TD Bank