Compliance Business Oversight Manager

Job Description / Accountabilities:

The Senior Advisory Compliance Officer (VP) will have responsibility for Compliance activities relating to the FICC markets businesses focusing on Commodities and Fixed Income or FX and is therefore expected to be a product specialist.

• Good understanding of the Based and Precious Metals business, including LME and LBMA requirements. Ideally additional understanding of Fixed Income or FX products.
• Quickly build an understanding of the business lines, including booking models, products, transaction types and nature of business, covering and providing advice to multiple trading and sales desks.
• Build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.
• Provide guidance to more junior members of the team.
• Assess new business proposals versus pertinent laws, regulatory requirements and exchange rules including coordinating with global Advisory Compliance teams where required.
• Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
• Provide real-time advice to the business regarding proposed transactions in a timely manner.
• Assist internal stakeholders where required with product and/or market expertise, such as Trade Surveillance, Risk, Internal Audit, Operational Risk, Operations.
• Create and deliver training to the business and other functions as required, covering topics such as market abuse, trading venue rules and other topics pertinent to specific business lines.
• Creation and review of Advisory Compliance policies and procedures.
• Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation for potential STOR submissions.
• Assist with responding to any relevant regulatory requests.

Educational Requirements / Accreditations / Other Qualifications / Skills / Experience:

• Minimum of 7 years of demonstrated relevant experience in the industry. Knowledgeable of regulations and industry best practices.
• Solid understanding of Metal markets, products and business practices with at least 3 years of product experience. Ideally additional in-depth knowledge of one or more areas of Fixed Income or FX.

• To be a self-starter who is able to identify potential areas of risk and be comfortable approaching the business to discuss as required.
• Knowledge of major industry regulations such as MiFID II, EMIR, MAR.
• Be familiar with relevant industry standards and statements of good practice, particularly market rules and relevant codes and guidance.

Inclusiveness:

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve, and creating an environment where every employee has the opportunity to reach her/his potential.

TD is committed to providing accommodations. If you require an accommodation, we will work with you to meet your needs.

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We 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

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.