Compliance Governance & Operations Analyst II (4572)

TD•Toronto, ON

9d•Onsite

About The Position

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, promoting a compliance culture within the firm, taking preventative measures to ensure compliance with the rules and regulations, and reviewing new business opportunities, such as new products or markets from a compliance perspective.

Requirements

Strong knowledge of Securities Rules related to insider trading and material non-public information
Ability to multi-task, 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
Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities
Familiarity with ISM or ability to learn new systems
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
University Degree
Minimum 3 years compliance experience within a financial institution or bank-owned dealer

Nice To Haves

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

Responsibilities

Responsible for monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall-crossings
Maintain up-to-date lists of employees in the StarCompliance System for appropriate coverage
Assign and follow up attestations
Complete and file Insider Trading Reports for directors and senior officers of TDBG
Manage broker feeds and monitor paper statements
Manage TDS Chatbot
Provide day-to-day support to employees in relation to personal trading requirements
Responsible for coordinating with the business in keeping the static user groups (function groups) updated
Assist in the drafting of training materials and provide training to employees on personal trading requirements as may be required
Assist in pulling various personal trading reports
Assist with projects as maybe assigned
Consistently exercise discretion in handling correspondence, information and all matters of confidentiality; raise issues where appropriate
Build subject matter knowledge in personal trading requirements and security products and may coach and educate others
Foster a cooperative working relationship with business unit partners and key regulators.