Senior Compliance Business Oversight Analyst (4870)

TD•Toronto, ON

1d•Onsite

About The Position

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TD Bank Group in accordance with the Global Compliance Operating Framework. Compliance is responsible for developing and maintaining the processes by which Businesses are made aware of the legislation and regulation, under which they are governed, as well as compliance trends, emerging risk areas and regulatory changes. Wealth Compliance works pro-actively with the Canadian Wealth businesses and various other departments within TD that provide support to these businesses. We ensure regulatory compliance; protect the interests of the firm, its employees and clients while supporting the sales and productivity objectives of our business partners. Reporting to the Senior Manager, Compliance Business Oversight, the Senior Compliance Business Oversight Analyst's focus will be twofold. The first is assisting with the management of the employee conduct oversight program for multiple TD Wealth businesses. Activities include the enforcement of policies and procedures focusing on personal trading, gifts and entertainment, management of material non-public information (MNPI), personal trading, electronic communication surveillance, as well as general exception management. The second is providing second line pre/post trade oversight of the trade order management system for TD Asset Management Inc. (TDAM). This is comprised of the setup and implementation of the oversight program itself, monitoring portfolio and investment fund trading activity, liaising with various trade desks and other business partners, and executing the effective challenge function to ensure compliance with trading regulations and securities laws. This position requires strong knowledge regulatory frameworks and best practices for managing conduct and regulatory risk within an asset management environment. Working with other senior analysts on the team, the successful candidate will oversee processes to ensure compliance with applicable securities regulations and industry best practices and create a suite of senior management and board-level reports on a regular basis. The successful candidate will be expected to continuously review processes and not only suggest improvements, but implement them. Driving process optimization is critical to enhancing both compliance effectiveness and operational efficiency. Regularly identifying gaps and proactively developing solutions will ensure the oversight program remains robust, adaptive, and aligned with industry best practices. Because this position involves managing highly confidential and sensitive information every day, strong soft skills—especially communication (both verbal and written) and discretion—are essential. The ideal candidate must demonstrate an ability to maintain strict confidentiality while effectively influencing and guiding employees to adhere to compliance policies and procedures.

Requirements

Minimum 7 years of relevant business, Compliance, Risk or investment management experience preferred
University degree, with a major/specialty in finance; investment industry accreditation (e.g., CIM) or relevant CSI courses is an asset but not required
Previous experience at an asset manager is required, and experience in pre/post trade analysis strongly preferred
Exposure to Trade Order Management System (Bloomberg, Charles River, Sentinel, etc.)
Familiarity with investment fund and portfolio manager operations and trading activities
Knowledge of regulations for portfolio manager, exempt market dealer and investment fund manager (Canada) and institutional clients and alternative investments
Strong knowledge of financial instruments and related products across asset classes (equities, fixed income, derivatives, etc.)
Strong influence skills, with the ability to work collaboratively as well as independently
Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
Detail-oriented, highly organized, and able to work in a dynamic environment
Demonstrated strong writing skills, including board and committee reports and drafting procedural documents
Able to manage tight deadlines and multiple competing priorities
Flexibility to adapt to changing priorities combined with strong attention to detail and strong organizational skills to thrive in a dynamic environment
Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.
Ability to deal with conflicting points of view and to effect creative and responsive solutions.
Excellent verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills.

Nice To Haves

investment industry accreditation (e.g., CIM) or relevant CSI courses is an asset but not required
experience in pre/post trade analysis strongly preferred

Responsibilities

Management, maintenance, and improvement of the employee conduct and personal trading oversight program elements and processes for TD Wealth businesses
Be a subject matter expert on assigned projects and initiatives with a focus on regulatory requirements, policies and procedures, effective controls, and supervision
Provide compliance review, evaluation, reporting and/or analytical support in a timely manner related to employee personal trading, electronic communications, and gifts and entertainment (G&E) requests and other compliance matters as assigned.
Identify, investigate and analyze current and emerging regulatory/compliance issues and/or trends relating to operational compliance programs
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.
Responsible for oversight of portfolio monitoring in the Bloomberg system for TDAM
Ensure investment and trading activities are conducted in accordance with the regulatory and internal requirements.
Empowered to make prudent professional decisions, and/or provide strong rationale when escalating inquiries to the Senior Manager
Maintain good knowledge of regulations (i.e. NI 31-103, NI 81-102, NI 81-107, etc.,), and strong knowledge of industry best practices
Acts as the primary subject matter expert for regulations applicable to business partners and provides guidance, consultation and expert advice with respect to the business partners' compliance with such regulations directly related to the operations of the business
Create training content and may train business partners on regulatory requirements
Support TD Wealth Compliance team members and management on a variety of projects, initiatives and other ad-hoc requests as assigned
Work with business management, and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations
Review audit trail documentation and recommend enhancements to relevant procedures
Protect the interests of the organization – identify and manage risks, and promote the prompt and thorough resolution of escalated nonstandard, high risk issues
Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and promote timely communication of issues/ points of interest
Provide thought leadership and / or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business
Keep current on emerging trends / developments and grow knowledge of the business, related tools and techniques
Participate in personal performance management and development activities, including cross training within own team
Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships
Contribute to a fair, positive and equitable environment that supports a diverse workforce