Senior Compliance Analyst - Exchange Traded Products

The Toronto-Dominion Bank (Canada); Toronto; Vor Ort; CAD 82.000 - 115.000; Vollzeit

Zusammenfassung

The Toronto-Dominion Bank (TD) Securities Compliance group is seeking a Senior Compliance Business Analyst to advise on Exchange Traded Products compliance and oversight. You will partner with business lines and stakeholders to develop, communicate, implement, and maintain policies and procedures to support regulatory requirements.

Ideal candidates bring strong knowledge of equities and derivatives, UMIR/Exchange rules, Power BI data analytics, and proven project management, with the ability to

Qualifikationen

• A strong familiarity with equities and listed derivatives products and trading requirements.
• Strong working knowledge of UMIR, TSX Rules, Montréal Exchange Rules, CIRO IDPC, and securities legislation.
• 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 with Rules and Regulations of the Montreal Exchange, CIRO and applicable Securities Commissions.
• 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

Aufgaben

• Provide strategic oversight and lead key initiatives, including end-to-end project delivery, remediation of control gaps, and implementation of sustainable process improvements.
• Perform compliance monitoring and reviews for equity and 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 reports to the equities and listed derivatives best execution committee meetings.
• Assist with 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

Kenntnisse

Equities & derivatives

UMIR knowledge

TSX Rules

Montreal Exchange Rules

CIRO Rules

Securities legislation

Power BI

Data analytics

Project management

Regulatory compliance

Data analysis

Front office communication

Communication skills

Integrity & discretion

Independent & team

Tools

Power BI

Jobbeschreibung

The Toronto-Dominion Bank (TD) Securities Compliance group is seeking a Senior Compliance Business Analyst to advise on Exchange Traded Products compliance and oversight. You will partner with business lines and stakeholders to develop, communicate, implement, and maintain policies and procedures to support regulatory requirements.

Ideal candidates bring strong knowledge of equities and derivatives, UMIR/Exchange rules, Power BI data analytics, and proven project management, with the ability to