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Title posted on CareerBeacon - Senior Compliance Business Oversight Analyst ()
Posted on March 20, 2025 by Employer details TD Bank
Job details
Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:$76,800 - $115,200 CADTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.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 surveillanceProviding training and educationLiaising with regulatorsPromoting a compliance culture within the firmTaking preventative measures to ensure compliance with the rules and regulationsImplementing Policies and Procedures designed to achieve compliance with applicable laws and regulationsLicensing and registration requirementsReviewing new business opportunities, such as new products or markets from a compliance perspectiveJob DescriptionThe Senior Compliance Business Analyst is responsible for providing advice and guidance on regulatory requirements and firm policies applicable to the Global Equities Derivatives 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 Senior Analyst 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: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 of the equities derivatives trading deskAssist with regulatory inquiries and investigations relating to equities derivatives trading.Escalate any significant issues to Compliance management on a timely basisPromoting a compliance culture within the firmTaking preventative measures to ensure compliance with the rules and regulationsJob RequirementsProficiency Requirements and Skills: A strong familiarity with equities and listed derivatives products and trading requirementsExperience with Rules and Regulations of the Montreal Exchange, CIRO and applicable Securities Commissions.Other Qualifications/Skills/Experience: Ability to manage and prioritize multiple projects, many with tight deadlinesAbility to work independently and as part of a team yet understand when matters need to be escalated to senior managementAbility to deal with staff and management at all levels in TD Securities and TDBGAbility to t- LocationToronto, ON
- Workplace information On site
- SalaryNot available
- Terms of employment Permanent employmentFull time
- Starts as soon as possible
- vacancies 1 vacancy
- Source CareerBeacon #2136778
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