Compliance Business Oversight Analyst II (4819)

TD•Toronto, ON

8d•Onsite

About The Position

Provide oversight, analysis, and quality assurance of compliance surveillance and review activities across multiple business lines. The role focuses on independent oversight of monitoring outputs, patterning analyses, regulatory inquiries, and control effectiveness to ensure alignment with applicable securities regulations, internal policies, and risk management expectations.

Requirements

Undergraduate degree or equivalent work experience.
2+ years of relevant experience in compliance, surveillance, risk management, operations, or a related securities industry function.
Knowledge of Canadian securities regulations and market conduct expectations.
Strong analytical, documentation, and organizational skills with attention to detail.
Ability to interpret trade and account data, identify anomalies, and articulate risk-based conclusions.

Responsibilities

Perform ongoing oversight reviews of surveillance alerts, trade activity reports, and exception outputs to assess the adequacy, timeliness, and quality of first-line reviews.
Conduct daily, monthly, quarterly, and ad-hoc patterning and thematic analyses to identify potential regulatory, conduct, or control risks.
Assess accuracy and appropriateness of trade markers, client identifiers, account attributes, and change-of-ownership indicators.
Analyze trading activity, cash and securities movements, suitability indicators, client priority considerations, and potential conflicts of interest.
Document review results, identify issues or control gaps, and escalate matters requiring further investigation or remediation.
Support responses to regulatory inquiries through analysis, evidence gathering, and preparation of review summaries.
Provide independent challenge and oversight of compliance surveillance processes to support effective risk management.
Evaluate control design and operating effectiveness through structured review programs and testing activities.
Identify trends, emerging risks, and systemic issues through data-driven analysis and pattern recognition.
Contribute to audit, examination, and regulatory readiness by maintaining accurate documentation and evidence.
Ensure activities are conducted in alignment with applicable securities regulations, internal policies, and compliance standards.
Promote consistent application of compliance controls across products, account types, and client segments.
Participate as an active member of the compliance oversight team, supporting collaboration and knowledge sharing.
Maintain and enhance subject matter expertise related to securities regulation, surveillance practices, and market conduct risk.
Provide guidance and constructive feedback to peers regarding review observations and control expectations.
Communicate review status, findings, and risks clearly and professionally to management and stakeholders.
Contribute to a positive, inclusive, and risk-aware culture that values integrity and accountability.
Manage and execute multiple concurrent oversight reviews with varying frequencies and complexity.
Apply judgment when assessing non-standard activity, escalations, and potential regulatory issues.
Operate with a comprehensive understanding of securities products, trading processes, and surveillance concepts.
Require minimal supervision while adhering to defined review frameworks and escalation protocols.
Serve as a point of contact for internal partners, auditors, and regulators on matters relating to surveillance oversight.