Compliance Governance & Operations Analyst I

TD Bank - Toronto, ON (30+ days ago)

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Department Overview

The Compliance Department is responsible for 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 Description

**Please note there is a pre-identified candidate**
Identify compliance alerts and issues that require further review or escalation
Conduct recurring reviews of trading and account activity to determine if they are conducted within internal policies and external regulations
Escalate issues identified to business unit management and monitoring for resolution
Act as a liaison administering issues between departments
Assist in identifying compliance requirements that relate to maintaining testing documentation and records
Administer compliance controls within the department and the business unit and provide suggestions for improvement as required to resolve concerns
Assist with responses to inquiries from regulators
Assist with projects as assigned
Assist to maintain and enhance policies and procedures
Foster a cooperative working relationship with business unit partners and key regulators
Participate in industry forums and committees where applicable

Job Requirements

Minimum 2 years compliance experience within a bank owned dealer, or
Working experience with Over-the-counter and derivative products either obtained through Front-office, middle-office or market risk and trade settlement operations
Basic knowledge of financial products knowledge and market rules and regulations
Basic knowledge of equity markets structure and operation and the associated regulatory issues
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

Additional Information

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 perform Basic programming such as Excel VBA and Access SQL is an asset
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


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.

Job FamilyCompliance Governance and Operations
Job Category - Primary

Corporate Development / Strategy / Design

Job Category(s)Corporate Development / Strategy / Design


Business LineCorporate
Time Type

Full Time

Employment TypeRegular


**Province/State (Primary)Ontario
City (Primary)


Work LocationTD Centre - 95 Wellington Street West