About The Position
The Compliance Business Oversight Analyst II position is responsible for executing the compliance program related to the firm’s Equities and Fixed Income business, specifically regulatory requirements surrounding TDSI Sales and Trading. This position will report to the Senior Manager, Compliance Advisory, Canadian Markets.
Requirements
- 3-5 years Broker Dealer experience
- Strong familiarity with CIRO, MX, OSC and applicable securities Commission rules
- Familiarity fixed income listed equity and derivatives market structure, and operations is required.
- Proficient in MS Office
- Comfortable in a trade desk environment
- Excellent communication skills, both written and oral
- Strong personal integrity in dealing with confidential and sensitive information.
- Ability to understand, analyze, interpret, and apply regulations in an operational context in an environment that is ever changing and has competing priorities
- Ability to work in a fast-paced environment and be resourceful
- 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
Nice To Haves
- TD internal operations or trading system experience preferred
Responsibilities
- Be accountable for responding to time-sensitive regulatory inquiries including investigations, preparing documentation, interviewing parties involved and liaising with various Lines of Businesses and 1B functional areas.
- Track the status and report to management all interactions and communications with regulators.
- Collaborate with colleagues from TD Wealth compliance to avoid redundancies relating to regulatory requests.
- Collaborate with compliance colleagues in other regions to provide ensure quality and consistency in regulatory communications.
- Carry out various compliance monitoring reviews relating to sales and trading and ensuring any findings are promptly remediated.
- Assist in maintaining, designing, and creating compliance reviews to ensure oversight align with business strategies and documenting detailed review procedures.
- Assist with the annual update of Compliance Policies and Procedures.
- Cross training to back up Compliance Advisory team
- Prepare stats of regulatory inquiries for quarterly Trade Desk Report (TDR)
Benefits
- health and well-being benefits
- savings and retirement programs
- paid time off
- banking benefits and discounts
- career development
- reward and recognition programs
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
Upload and Match Resume
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
