Manager, Exchange Traded Products Compliance Advisory (5444)

The Toronto-Dominion Bank (Canada); Toronto; On-site; CAD 97,000 - 137,000; Full time

Job summary

TD Securities Inc. (TD) Compliance is seeking a Manager, Exchange Traded Products Compliance Advisory in Toronto. You will guide regulatory requirements for ETPs, collaborate with sales and trading, and help maintain compliance programs in a fast-paced environment.

You will leverage Power BI for analytics, drive policy updates, and lead initiatives with minimal supervision while ensuring a strong compliance culture across the desk.

Qualifications

• Strong familiarity with equities and listed derivatives products and trading requirements.
• Solid knowledge of UMIR, TSX/Montréal Exchange Rules and NI guidelines.
• Proficiency in Power BI and data analytics to enhance compliance processes.
• Demonstrated project management experience driving initiatives to completion.
• Excellent communication skills and ability to work cross-functionally.

Responsibilities

• Provide strategic oversight and lead initiatives across equity, global equity derivatives and prime brokerage.
• Interpret regulatory requirements and advise on business initiatives and trading activities.
• Perform compliance monitoring and reviews for listed derivatives sales and trading.
• Update compliance programs based on regulatory changes and examinations.
• Deliver training on regulatory matters and firm policies.

Skills

Power BI

Data analytics

Project management

Data integrity analysis

Regulatory communication

Tools

Excel

Regulatory reporting software

Job description

Work Location and Compensation

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $96,900 - $136,800 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 at TD. Our 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.

Department Overview

The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. 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
• Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations
• Licensing and registration requirements
• Reviewing new business opportunities, such as new products or markets from a compliance perspective

Manager, Exchange Traded Products Compliance Advisory

Position is responsible for providing advice and guidance on regulatory requirements and firm policies applicable to the Exchange Traded Products business lines and working closely with the business and internal stakeholders in the development, communication, implementation and ongoing maintenance of policies and procedures to promote compliance with such requirements. The Manager must be highly responsive in a business environment where decisions must be made in stressful, time sensitive situations and where information is often ambiguous and incomplete. The role is also expected to keep abreast of developments in an ever-changing regulatory environment and their impact on the business. This position will report to the Senior Manager, Compliance Business Oversight.

Primary Responsibilities

• Provide strategic oversight and lead key initiatives, including end-to-end project delivery, remediation of control gaps, and implementation of sustainable process improvements.
• Provide compliance advisory coverage across Equity, Global Equity Derivatives and Prime Brokerage businesses by interpreting regulatory requirements, advising on business initiatives and trading activities, assessing compliance risks, recommending appropriate controls, and escalating material issues.
• Perform compliance monitoring and reviews for listed derivatives sales and trading.
• Assist with compliance monitoring program for Capital Markets activity including updating the program based on regulatory changes and the results of internal or external examinations.
• Deliver periodic training to Capital Markets staff members on regulatory matters and firm policies and procedures.
• Perform LOPR Options and Futures reviews which would include data validation and testing.
• Prepare and present compliance report to the equities and listed derivatives best execution committee meetings.
• Assist in updating the Compliance Procedures Manual.
• Assist with regulatory exams or internal audits for exchange traded products desks.
• Assist with regulatory inquiries and investigations for exchange traded products desks.
• Escalate any significant issues to Compliance management on a timely basis
• Promoting a compliance culture within the firm
• Taking preventative measures to ensure compliance with the rules and regulations

Job Requirements – Proficiency

• A strong familiarity with equities and listed derivatives products and trading requirements
• Strong working knowledge of the Universal Market Integrity Rules (UMIR), TSX Rules, Montréal Exchange Rules, CIRO Investment Dealer and Partially Consolidated Rules (IDPC), and applicable Canadian securities legislation, including relevant National Instruments governing equity, derivatives, and marketplace trading activities. e.g. UMIR Rulebook, TSX & Montreal Exchange Rules, NI-23-101, NI 23-103.
• Proficiency in Power BI and data analytics, with demonstrated experience leveraging automation to enhance compliance processes, streamline reviews and reporting, and identify data trends and exceptions.
• Demonstrated project management experience, with the ability to identify and remediate control gaps, develop and implement effective control enhancements, and drive initiatives through to completion.
• Experience investigating and making sense of information through data analysis, understanding data patterns and trends, as well as resolving and troubleshooting data integrity.
• Comfortable in a trade desk environment and communicating with various Lines of Businesses including front office staff members
• Strong communication skills, both written and oral
• Strong personal integrity in dealing with confidential and sensitive information.
• Self-motivated, confident, and capable of working both independently and in a team environment

Other Qualifications/Skills/Experience

• 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
• Ability to deal with staff and management at all levels in TD Securities and TDBG
• Ability to think critically and make decisions

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

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

Language Requirement (Quebec only)

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Our Values

At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in our community, explore and grow your career and be part of our caring and inclusive culture.

Commitment to Diversity, Equity, and Inclusion

At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

Helping to Make an Impact in Communities – TD Ready Commitment

TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific