Compliance Governance & Operations Analyst II (4751)

Compliance Department Role

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
• Reviewing new business opportunities, such as new products or markets from a compliance perspective

Job 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.

Job 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
• 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

• University Degree
• Minimum 3 years compliance experience within a financial institution or bank-owned dealer