Senior Compliance Governance & Operations Analyst
Description
The Senior Compliance Governance & Operations Analyst will support TDSI's Global Personal Account Dealing program, and will report to the Senior Manager, Global Control Room.
Primary responsibilities are:
Remediation duties including but not limited to audit, backlogs, and quality assurance.
Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the program.
Provide compliance advisory to business areas covered by the TDS Personal Account Trading Policy (i.e. Corporate & Investment Banking, Global Markets and Research).
Support the Senior Manager to ensure effectiveness of the program by administering the governance framework, including Quality Assurance Reviews, risk assessments, and enhancing control procedures as needed.
Provide SME support to the team's daily operations and support the daily BAU operations as required.
Collaborate with global business partners (i.e. Technology, HR, other Compliance teams) on matters that may require joint efforts.
Assist in periodic regulatory exams and audits.
Periodically design and provide training for business units under coverage of the program.
Monitor regulatory developments and trends, and assist on impact assessment as needed.
Support review of program coverage and ad hoc projects.
Job Requirements
Knowledge of applicable securities industry regulations.
Strong personal integrity in dealing with confidential and sensitive information.
Ability to take ownership and manage ad-hoc projects from beginning to end, supported by clear documentation.
Ability to think critically, document clear analysis, make decisions on reasonable basis and, know when to escalate to GCR Management.
Excellent verbal and written communications skills.
Ability to deal with staff and management at all levels.
Other Qualifications/Skills/
Experience:
Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities.
Ability to think critically, perform data analysis, and make supported decisions.
Ability to manage and prioritize multiple projects, with tight deadline.
Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management.
Education and Accreditation
University degree.
Minimum of 5 years of compliance experience in the securities industry, preferably in Employee Trading / Control Room compliance or capital markets business supervision.
Successful completion of the Canadian Securities Course and Conduct and Practices Handbook preferred.
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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience.
TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.
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.
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.
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