Compliance Governance & Operations Analyst II (4922)

TD•Toronto, ON

9d•CA$65,600 - CA$98,400•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, liaising with regulators, 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 work independently, think critically and make decisions
Excellent communication skills, both written and oral
Strong data analytics skills
Proficiency with Power BI platform
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 such 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 2 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

Monitor equity aggregation across TD Bank and affiliates against regulatory thresholds; validate data lineage and calculations to ensure accuracy.
Generate early‑warning notifications for approaching thresholds; circulate clear, evidence‑backed updates to business stakeholders.
Advise stakeholders when disclosure requirements are triggered; coordinate reporting and filing activities with Legal and regional compliance.
Recommend control and process changes to sustain compliance with aggregation and disclosure rules; document decisions and rationale.
Collaborate with Legal, Finance Operations, Technology, vendors, trading desks, and regional compliance to resolve alerts, clarify rules, and fix data issues.
Track issues end‑to‑end, streamline workflows, and implement durable solutions; confirm remediation across systems and stakeholders.
Manage issue tracking from internal reviews, audits, and regulatory inquiries; report remediation status and follow‑ups clearly and on time.
Maintain and enhance operational tools and reports; validate outputs and update procedures to reduce manual effort and operational risk.
Prepare management‑level metrics, dashboards, and analyses to support senior decision‑making, escalation discussions, and executive updates.
Act as liaison among business, technology, and vendor teams; align priorities and timelines, verify fixes, and ensure timely closure of gaps.
Uphold confidentiality and professional integrity in handling sensitive information; escalate issues appropriately and consistently.
Build and share subject‑matter knowledge; coach and educate colleagues on procedures, systems, and regulatory expectations.
Maintain process manuals, runbooks, and training materials; provide coverage during peak periods or critical incidents to support operational resilience.
Foster cooperative working relationships with business partners and key regulators; participate in relevant industry forums and committees.