Senior Manager, Control Room, Compliance (2137)

TD Bank; Canada; On-site; CAD 80,000 - 120,000; Full time

Job summary

A leading financial institution in Canada is seeking a Manager of Compliance to oversee compliance strategy and provide support across Investment Banking. The role involves managing a team, monitoring personal trading, and ensuring adherence to regulatory requirements. Ideal candidates will possess strong critical thinking and communication skills, along with a university degree and relevant industry experience.

Qualifications

• Minimum 5 years industry experience required.
• Knowledge of CIRO and securities commission rules.

Responsibilities

• Provide compliance coverage and support to Investment Banking.
• Manage a team responsible for trade monitoring and surveillance.
• Report compliance-related issues to Senior Management.

Skills

Critical Thinking

Communication

Integrity

Project Management

Education

University Degree

Job description

Department Overview

The TD Securities 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

Job Description

• Primary compliance coverage and real-time support and advice to business areas within Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity & Debt Capital Markets), Global Credit and Global Markets, with respect to personal trading requirements
• Responsible for personal trade monitoring and surveillance particularly with respect to the Grey and Restricted Lists and policy requirements such as pre-trade approval and hold periods.
• Responsible for managing a team of 5-7 personnel responsible for executing the day-to-day requirements of the program.
• Responsible for reporting any compliance-related issues to Senior Management, as appropriate
• Provide day-to-day advisory support to supervisors, front office employees and support groups on regulatory rules
• Communicate with front office employees and supervisors to assess risk and remediate issues
• Assist in the design and maintenance of supervisory procedures
• Assist in regulatory reviews, including inquiries, audits and exams
• Design and deliver applicable training for business unit personnel
• Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations
• Interact with IT support and Risk Management to ensure technology and business practices remain compliant with Firm policies and industry regulation
• Supporting the business in their development of policies, procedures and training programs to facilitate compliance with regulatory requirements
• Special projects as assigned

Job Requirements

• Familiarity with CIRO and applicable securities commission rules as well as understanding of Global rules and best practices.
• Knowledge of market structures and operations and the associated regulatory issues
• Extensive knowledge of investment banking activities and in-depth product knowledge a plus
• Ability to think critically and make decisions
• Ability to take ownership and see matters to completion
• 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.
• Canadian Securities Course (CSC) desirable but not required
• Conduct and Practices Handbook (CPH) and Trader Training Course (TTC) desirable but not required

Other Qualifications / Skills / Experience

• Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities
• 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 other industry courses desirable but not required

Education and Accreditation

• University degree
• Minimum 5 years industry experience
• Control Room and Personal Trading experience preferred.

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Manager Compliance • Old Toronto, ON, Canada