Derivative Compliance & Portfolio Oversight Analyst

The Toronto-Dominion Bank (Canada); Toronto; On-site; CAD 60,000 - 80,000; Full time

Job summary

A leading financial institution in Toronto is seeking an Analyst or Associate for compliance monitoring. The role requires expertise in both Canadian and U.S. regulations, utilizing tools like Bloomberg AIM. Candidates should possess strong communication, problem-solving skills, and a solid understanding of investment strategies. This position offers a dynamic environment with opportunities for professional growth.

Benefits

Competitive salary

Health and well‑being benefits

Career development opportunities

Paid time off

Banking benefits and discounts

Qualifications

• 2+ years' experience in a compliance related role within a buy-side firm.
• Solid understanding of investment strategies and asset types.
• Proficiency with compliance monitoring systems preferred.
• Ability to implement investment restrictions effectively.
• Experience in programming and database management considered an asset.

Responsibilities

• Ensure portfolios follow regulatory and client investment rules.
• Utilize Bloomberg AIM to monitor compliance rules.
• Implement and maintain compliance rules.
• Liaise with internal teams on product consistency with regulations.
• Educate on Canadian and U.S. regulatory knowledge.

Skills

Investment strategies

Strong communication skills

Problem-solving skills

Knowledge of regulatory rules

Education

CFA designation

Tools

Bloomberg CMGR

Bloomberg AIM

Job description

A leading financial institution in Toronto is seeking an Analyst or Associate for compliance monitoring. The role requires expertise in both Canadian and U.S. regulations, utilizing tools like Bloomberg AIM. Candidates should possess strong communication, problem-solving skills, and a solid understanding of investment strategies. This position offers a dynamic environment with opportunities for professional growth.