Compliance Governance & Operations Analyst II

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $65,600 - $98,400 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  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.

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients.

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
• Reviewing new business opportunities, such as new products or markets from a compliance perspective

• Monitor equity aggregation across TD Bank and affiliates against regulatory thresholds; validate data lineage and calculations to ensure accuracy.
• Generate early‑warning notifications for approaching thresholds; circulate clear, evidence‑backed updates to business stakeholders.
• Advise stakeholders when disclosure requirements are triggered; coordinate reporting and filing activities with Legal and regional compliance.
• Recommend control and process changes to sustain compliance with aggregation and disclosure rules; document decisions and rationale.
• Collaborate with Legal, Finance Operations, Technology, vendors, trading desks, and regional compliance to resolve alerts, clarify rules, and fix data issues.
• Track issues end‑to‑end, streamline workflows, and implement durable solutions; confirm remediation across systems and stakeholders.
• Manage issue tracking from internal reviews, audits, and regulatory inquiries; report remediation status and follow‑ups clearly and on time.
• Maintain and enhance operational tools and reports; validate outputs and update procedures to reduce manual effort and operational risk.
• Prepare management‑level metrics, dashboards, and analyses to support senior decision‑making, escalation discussions, and executive updates.
• Act as liaison among business, technology, and vendor teams; align priorities and timelines, verify fixes, and ensure timely closure of gaps.
• Uphold confidentiality and professional integrity in handling sensitive information; elevate issues appropriately and consistently.
• Build and share subject‑matter knowledge; coach and educate colleagues on procedures, systems, and regulatory expectations.
• Maintain process manuals, runbooks, and training materials; provide coverage during peak periods or critical incidents to support operational resilience.
• Foster cooperative working relationships with business partners and key regulators; participate in relevant industry forums and committees.

• Strong knowledge of Securities Rules related to insider trading and material non‑public information
• Ability to work independently, think critically and make decisions
• Excellent communication skills, both written and oral
• Strong data analytics skills
• Proficiency with Power BI platform
• Ability to work under pressure and meet deadlines
• Strong personal integrity in dealing with confidential and sensitive information

• Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities
• Familiarity with ISM or ability to learn new systems
• Ability to manage and prioritize multiple projects, many with tight deadlines
• Ability to work independently…