Surveillance Analyst, FP Business Surveillance

TD•Markham, ON

9d•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 defined as a first line of defense / 1A delegated function for the FP business 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 or Registered Representative
Minimum of 2 years Relevant Experience
CIRE - Canadian Investment Regulatory Exam
RSE - Retails Securities Exam
Supervisor Exam
Compliance, including AML/ATF compliance, legal, business management, internal audit, regulatory or risk management experience in the financial services sector.
Sound knowledge of the TD Wealth (FP) business
Strong communication, interpersonal and organizational skills
Detail oriented, highly organized, and able to work in a fast-paced, dynamic environment
Ability to work independently, think critically and make decisions
Proficient with MS Office

Nice To Haves

Ability to read/write/speak French would be an asset
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., CRM Securities Deposit & Transfer Reports, TD Premium Oversight 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 Senior Regional Managers and/or Senior Manager/Manager
Support Financial Planners (FPs), Senior Regional Managers, and management in the timely resolution of outstanding items by providing guidance, education, and direction aligned with established policies and procedures.
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
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
Perform Strict Supervision reviews, as required, including detailed assessments of daily trading activity, escalation of concerns to Senior Regional Managers (SRMs) and business partners, and preparation of monthly summary reporting to support oversight.
Communicate effectively on compliance related matters within TD Wealth to achieve effective regulatory oversight.
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.