Work Location:
Toronto, Ontario, Canada
Hours:
37.5
Line of Business:
Compliance
Pay Details:
$108,800 - $163,200 CAD
TD 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.
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Job Description:
Department Overview
The 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
- Providing independent review & challenge of the Business
- 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
The Senior Manager position is a senior member of the compliance team responsible for executing the compliance program related to TD Securities Canadian business, specifically regulatory requirements surrounding TDSI Trading and Operations. This position will report to the VP and CCO, TD Securities Compliance Canada. More specifically, the role will provide a major contribution to the overall prevention and detection of reputational, financial and regulatory risks related to TDSI.
Primary Responsibilities:
- Proficient in Canadian laws, rules and regulations pertaining to Operations, Finance and Transaction Reporting relevant to the Bank and the Broker Dealer. Specifically, CIRO Series 4000 Dealer Member Financial and Operation Rules.
- Expertise in regulations governing outsourcing, business continuity and other operational areas is preferred.
- Competency and experience with the Rules of Bourse de Montréal Inc. relating to Large Open Position Reporting ("LOPR") compliance requirements.
- Providing input on the regulatory impact of and reputational risk matters arising from new procedures, products and technology being considered by project committees.
- Able to participate in industry forums and internal project meetings to be the voice of Compliance to ensure alignment to regulatory expectations and obligations.
- Provide input and actively participate on proposed or new regulatory initiatives affecting the Canadian Marketplace including liaising with different parts of the organization, assessing risk to TDSI, and all follow-up with the regulators. Be part of the relevant internal and external working groups and committees regarding regulatory change.
- Provide timely advise and ongoing guidance to the business on relevant policies and procedures.
- Develop key partnerships and foster collaborative relationships with internal stakeholders and business partners.
- Assist in executing the second line of defense responsibilities of the Enterprise Regulatory and Compliance Management Framework.
- Assist in maintaining, designing and creating supervisory reviews to ensure compliance oversight aligns with business strategies.
- Interact with IT support and Risk Management to ensure technology and business practices remain compliant with Firm policies and industry regulations.
- Develop and maintain relationships with counterparts at each of the relevant Canadian Securities Regulators and maintain a high level of awareness of compliance related changes and developments in the securities industry.
Required Qualifications
- A relevant degree, with at least 10 years of experience in relevant areas such as regulatory reporting and operations, gained from a top tier bank or major consultancy/accounting firms (i.e., banking knowledge is required).
- General knowledge of the Canadian regulatory landscape and be competent in assessing how these requirements apply to the bank operations is preferred.
- The candidate must have analytical skills with experience in effectively processing information on various subjects.
- Strong interpersonal, communication (written and presentation) skills and organizational abilities are essential.
- Able to interact professionally and diplomatically across all levels.
- A self-starter and quick learner who is proactive with the ability to quickly learn about the bank's operations, production and reporting systems and identify key issues, and to analyze appropriate information.
- Strong organizational and time management skills are required.
- Tech-savvy and Proficient in Microsoft Suite and other reporting tools.
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 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.
Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.
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
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