Compliance Business Oversight Analyst I (5072)

TD•Toronto, ON

2d•CA$59,500 - CA$84,000•Onsite

About The Position

Provide operational and oversight support for employee personal trading and professional account compliance programs. The role is responsible for administering attestations, monitoring disclosed external brokerage accounts, reviewing statements and flagged activity, and supporting compliance with employee trading and conflicts-of-interest requirements in accordance with applicable securities regulations and internal policies.

Requirements

Undergraduate degree or equivalent work experience preferred.
1+ years of experience in compliance, operations, risk management, or a related financial services role.
Basic knowledge of securities regulations, employee trading rules, or conflicts-of-interest concepts an asset.
Strong organizational, communication, and attention-to-detail skills.
Ability to manage multiple tasks, follow defined procedures, and meet regulatory timelines.

Responsibilities

Administer and monitor employee account attestation processes, including follow-up on incomplete, deficient, or overdue submissions.
Review disclosed internal and external brokerage accounts to ensure accounts are appropriately classified and compliant with employee trading policies.
Review brokerage statements and transaction activity to identify potential violations of employee trading, restricted securities, or conflicts-of-interest requirements.
Respond to inquiries from employees, business partners, and external institutions regarding employee trading requirements and account disclosures.
Coordinate with internal partners to support account transfers, closures, rollovers, and ongoing monitoring requirements.
Document review outcomes, correspondence, and supporting evidence in accordance with audit and regulatory expectations.
Support the effective operation of employee trading compliance programs through accurate execution and timely follow-up.
Identify and escalate potential policy breaches, data gaps, or control issues requiring further review or remediation.
Assist with internal audits, regulatory inquiries, and compliance reviews by gathering information and maintaining required records.
Contribute to reporting and reconciliation activities related to attestations, statements, and monitoring results.
Apply established compliance procedures consistently to protect the interests of the organization and maintain regulatory alignment.
Participate as an active member of the compliance oversight team, supporting shared inboxes and assigned workflows.
Maintain up-to-date knowledge of employee trading requirements and related compliance policies.
Communicate clearly and professionally with employees and partners regarding compliance requirements and next steps.
Contribute to team objectives by assisting with ad-hoc projects, initiatives, and process improvements as required.
Support a positive, inclusive, and risk-aware team environment.
Perform multiple operational and review tasks on a daily, weekly, and monthly basis within defined compliance frameworks.
Apply judgment to identify potential risks, deficiencies, or exceptions requiring escalation.
Develop working knowledge of employee trading, conflicts of interest, and personal account dealing requirements.
Manage assigned cases and follow-ups with attention to timeliness, accuracy, and documentation standards.
Interact regularly with internal stakeholders and external institutions in support of compliance obligations.