Job Description

405814BR
Anti-Money Laundering / Compliance & Regulatory Relations
Toronto, ON
April 14, 2023

Company Overview
Tell us your story. Don\xe2\x80\x99t go unnoticed. Explain why you\xe2\x80\x99re a winning candidate. Think \xe2\x80\x9cTD\xe2\x80\x9d if you crave meaningful work and embrace change like we do. We are a trusted North American leader that cares about people and inspires them to grow and move forward. Stay current and competitive. Carve out a career for yourself. Grow with us. Here\xe2\x80\x99s our story: jobs.td.com 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

The Senior Manager, Control Room Compliance supports the Corporate and Investment Banking businesses within TD Securities with emphasis on information barriers, and conflict of interest management.

• Preserve the integrity of the Firm\xe2\x80\x99s information barriers by creating and managing a program to monitor and control the flow of material non-public information (\xe2\x80\x9cMNPI\xe2\x80\x9d) between the Firm\xe2\x80\x99s advisory side businesses and public side businesses in accordance with legal and regulatory requirements.
• Own the Firm\xe2\x80\x99s Investment Banking Compliance Policy and other applicable Compliance procedures.
• Manage Reporting Insider filings and policies from a Compliance perspective.
• Accountable to execute an effective, on-going compliance program to address the following:

• Education of employees on the use and protection of MNPI
• Containment of MNPI
• Implementation of physical barriers and restrictions on unauthorized access to relevant information
• Restriction of activities and transactions

• Actively advise management of current and emerging regulatory and compliance issues, industry or market developments to ensure that anticipated regulatory changes are considered in business strategic plans.
• Assist the business unit management in the proactive assessment of regulatory risks and development of strategic risk mitigation plans in response to anticipated and actual internal and external developments.
• Accountable for the reporting and escalation of material breaches of firm policies and regulatory requirements.
• Manage a team of Compliance professionals.
• Provide compliance coverage for the Control Room as well as all private side business within TD Securities including Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity Capital Markets), Global Credit and Debt Capital Markets
• Assist with collaborating with Investment Banking, Global Credit and Equity Capital Markets personnel in Canada in evaluating transactions to determine securities for inclusion on the Grey List or Restricted Lists
• Primary compliance coverage 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 real-time deal flow
• Responsible for reviewing and resolving the escalation of research related issues as they relate to Investment Banking transactions and potential restrictions
• Responsible for monitoring communications including electronic communications within Investment Banking and other dealer groups in line with regulatory requirements and objectives
• Design and deliver applicable front office training for Investment Banking employees and other applicable private side employees
• Act as intermediary between Research and Investment Banking with respect to communications in line with applicable regulations
• Assist in regulatory reviews, including inquiries, audits and exams
• Interact with IT support and Risk Management to ensure technology and business practices remain compliant with Firm policies and industry regulation
• Supporting the business in their development of policies, procedures and training programs to facilitate compliance with regulatory requirements
• Special projects as assigned

Requirements

• 5+ years of compliance Control Room experience
• Familiarity with IIROC rules and applicable securities commission rules
• Knowledge of market structures and operations and the associated regulatory issues
• Extensive knowledge of investment banking activities and in-depth product knowledge a plus
• Strong people management experience
• Ability to think critically and make decisions
• Ability to take ownership and see matters to completion
• 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.
• Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Trader Training Course (TTC) desirable but not required

Additional Information
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

Education and Accreditation:

• University degree
• Minimum 5 years industry experience

Hours
37.5 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.