Surveillance Analyst, DI Business Surveillance – PWM Wealth Business Controls

TD•Markham, ON

3d•CA$59,500 - CA$84,000•Onsite

About The Position

The Tier 1 Surveillance Teams within PWM Wealth Business Controls are responsible for managing the TD risk structure framework as a first line of defense for the DI businesses for TD Wealth. The team's core mandate is to fulfill CIRO Tier 1 regulatory accountabilities while supporting broader business controls and market integrity. Through a risk-based program focused on Account Activity Monitoring, Surveillance provides coverage of applicable CIRO rules, internal policies, and Universal Market Integrity Rules (UMIR), enabling the timely identification, investigation, and escalation of potential risks across the business.

Requirements

Undergraduate Degree or Community College Diploma preferred.
Licensed with Canadian Investment Regulatory Organization (CIRO) as an Investment Representative
Minimum of 2 years Relevant Experience
CIRE – Canadian Investment Regulatory Exam
RSE - Retails Securities Exam
Supervisor Exam
Derivative Exam
Sound working knowledge of the fundamentals and techniques of trading including all relevant issues of compliance and the relevant policies of regulatory and government agencies.
Sound knowledge of the TD Wealth (DI) business.
Familiarity with Kyndryl is required.
Strong communication, interpersonal and organizational skills.
Detail oriented, highly organized, and able to multitask in a fast-paced, dynamic environment.
Ability to work independently, think critically and make decisions.
Proficient with MS Office.

Nice To Haves

Experience with Actimize and/or Smarsh would be an asset.

Responsibilities

Conduct effective and timely Tier 1 supervision of client account activity, as defined in a centralized structure. As an example, the position will be responsible for daily trade supervision as well as monthly account supervision.
Ensure trading and account activities are within CIRO regulations by reviewing daily & monthly trading activities and identifying / reporting any unusual trading or account activity.
Conduct effective and timely review of numerous business reports (e.g., OMS Override Edits report, Low Price Security report, Account Monitoring reports), disseminate relevant information to business partners and ensure spot checks are conducted & follow up as necessary.
Use available tools to track, trend and investigate areas of possible regulatory and/or business risk; reach sound conclusions and recommendations based on that analysis and communicate those effectively to Business or Wealth Compliance partners.
Provide a source of information for management by investigating enquiries, providing details as required to assist in investigations and responding to various management requests on a timely basis.
Using the Email Supervision tool, the SA will Conduct Tier 1 Supervisory review of Registrants electronic communications to ensure they are compliant with CIRO regulations.
Escalate appropriately any findings where there may be misconduct / concerns.
Communicate effectively on compliance related matters within TD Wealth to achieve effective regulatory oversight.
Adheres to Global AML/ATF policies, processes and controls in the DI Business so as to effectively mitigate AML/ATF risk.
Maintain extensive knowledge of regulatory, compliance and operational requirements.
Contribute and share ideas by proactively engaging with the team and the management.
Participate fully as a member of the team and contribute to a positive work environment.
Assist with presentations and training/information sessions to peer group.
Assist with special projects, or investigations, as required.
Other duties as assigned.