Work Location:Toronto, Ontario, Canada
Hours:37.5
Line of Business:Compliance
Pay Details:$65,600 - $98,400 CAD
Job Description:Department OverviewThe 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
- Reviewing new business opportunities, such as new products or markets from a compliance perspective
Job Description:- 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.
Proficiency requirements and skills: - 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
Other Qualifications/Skills/Experience: - 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
- 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
Education and Accreditation- University degree
- Minimum 2 years compliance experience within a financial institution or bank-owned dealer
Our Total Rewards PackageOur Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more
Additional Information:We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & OnboardingWe will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.
We look forward to hearing from you!
Language Requirement (Quebec only):Sans Objet
