Work Location:Toronto, Ontario, Canada
Hours:37.5
Line of Business:Compliance
Pay Details:$96,900 - $136,800 CAD
Job Description:Department OverviewThe TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. 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
- Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations
- Licensing and registration requirements
- Reviewing new business opportunities, such as new products or markets from a compliance perspective
Job DescriptionManager, Exchange Traded Products Compliance Advisory position is responsible for providing advice and guidance on regulatory requirements and firm policies applicable to the Exchange Traded Products business lines and working closely with the business and internal stakeholders in the development, communication, implementation and ongoing maintenance of policies and procedures to promote compliance with such requirements. The Manager must be highly responsive in a business environment where decisions must be made in stressful, time sensitive situations and where information is often ambiguous and incomplete. The role is also expected to keep abreast of developments in an ever-changing regulatory environment and their impact on the business. This position will report to the Senior Manager, Compliance Business Oversight.
Primary Responsibilities:- Provide strategic oversight and lead key initiatives, including end-to-end project delivery, remediation of control gaps, and implementation of sustainable process improvements.
- Provide compliance advisory coverage across Equity, Global Equity Derivatives and Prime Brokerage businesses by interpreting regulatory requirements, advising on business initiatives and trading activities, assessing compliance risks, recommending appropriate controls, and escalating material issues.
- Perform compliance monitoring and reviews for listed derivatives sales and trading.
- Assist with compliance monitoring program for Capital Markets activity including updating the program based on regulatory changes and the results of internal or external examinations.
- Deliver periodic training to Capital Markets staff members on regulatory matters and firm policies and procedures.
- Perform LOPR Options and Futures reviews which would include data validation and testing.
- Prepare and present compliance report to the equities and listed derivatives best execution committee meetings.
- Assist in updating the Compliance Procedures Manual.
- Assist with regulatory exams or internal audits for exchange traded products desks.
- Assist with regulatory inquiries and investigations for exchange traded products desks.
- Escalate any significant issues to Compliance management on a timely basis
- Promoting a compliance culture within the firm
- Taking preventative measures to ensure compliance with the rules and regulations
Job Requirements Proficiency requirements and skills:
- A strong familiarity with equities and listed derivatives products and trading requirements
- Strong working knowledge of the Universal Market Integrity Rules (UMIR), TSX Rules, Montréal Exchange Rules, CIRO Investment Dealer and Partially Consolidated Rules (IDPC), and applicable Canadian securities legislation, including relevant National Instruments governing equity, derivatives, and marketplace trading activities. e.g. UMIR Rulebook, TSX & Montreal Exchange Rules, NI-23-101, NI 23-103.
- Proficiency in Power BI and data analytics, with demonstrated experience leveraging automation to enhance compliance processes, streamline reviews and reporting, and identify data trends and exceptions.
- Demonstrated project management experience, with the ability to identify and remediate control gaps, develop and implement effective control enhancements, and drive initiatives through to completion.
- Experience investigating and making sense of information through data analysis, understanding data patterns and trends, as well as resolving and troubleshooting data integrity.
- Comfortable in a trade desk environment and communicating with various Lines of Businesses including front office staff members
- Strong communication skills, both written and oral
- Strong personal integrity in dealing with confidential and sensitive information.
- Self-motivated, confident, and capable of working both independently and in a team environment
Other Qualifications/Skills/Experience: - 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
- Ability to deal with staff and management at all levels in TD Securities and TDBG
- Ability to think critically and make decisions
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
