Description
Responsible for monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall-crossings
Maintain up-to-date lists of employees in the Star Compliance System for appropriate coverage
Assign and follow up attestations
Complete and file Insider Trading Reports for directors and senior officers of TDBG
Manage broker feeds and monitor paper statements
Manage TDS Chatbot
Provide day-to-day support to employees in relation to personal trading requirements
Responsible for coordinating with the business in keeping the static user groups (function groups) updated
Assist in the drafting of training materials and provide training to employees on personal trading requirements as may be required
Assist in pulling various personal trading reports
Assist with projects as maybe assigned
Consistently exercise discretion in handling correspondence, information and all matters of confidentiality; raise issues where appropriate
Build subject matter knowledge in personal trading requirements and security products and may coach and educate others
Foster a cooperative working relationship with business unit partners and key regulators.
Job Requirements
Proficiency
Requirements and Skills:
Strong knowledge of Securities Rules related to insider trading and material non-public information
Ability to multi-task, work independently, think critically and make decisions
Excellent communication skills, both written and oral
Ability to deal with staff and management at all levels in TD Securities and TDBG
Ability to work under pressure and meet deadlines
Strong personal integrity in dealing with confidential and sensitive information
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
Familiarity with ISM or ability to learn new systems
Ability to manage and prioritize multiple projects, many with tight deadlines
Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
Completion of Canadian Securities Course (CSC), Traders Training Course (TTC), and Conduct and Practices Handbook (CPH) desirable but not required
Completion of other industry courses desirable but not required
Education and Accreditation
University Degree
Minimum 3 years compliance experience within a financial institution or bank-owned dealer
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.
Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to…
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