Senior Compliance Business Oversight Analyst (5589)

TD Bank; Toronto; On-site; CAD 69,000 - 115,000; Full time

Job summary

TD Securities Inc.'s Compliance Department seeks a Senior Compliance Business Analyst to advise on regulatory requirements for Exchange Traded Products and support policy development. You will work with the business and stakeholders to implement procedures and respond to regulatory changes.

Ideal candidates bring strong knowledge of UMIR, TSX rules, and data analytics with Power BI, plus project management experience to drive initiatives from design through completion.

Qualifications

• A strong familiarity with equities and listed derivatives products and trading requirements.
• Proficiency in Power BI and data analytics, with demonstrated experience leveraging automation to enhance compliance processes, streamline reviews and reporting.
• Demonstrated project management experience, with the ability to identify and remediate control gaps, develop and implement effective control enhancements.

Responsibilities

• 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 regulatory exams or internal audits for exchange traded products desks.
• Escalate any significant issues to Compliance management on a timely basis.

Skills

Power BI

Data analytics

Project management

Equities & derivatives

Regulatory knowledge

UMIR & TSX rules

Data pattern analysis

Tools

Power BI

Job description

Work Location

Toronto, Ontario, Canada

Hours

37.5

Line of Business

Compliance

Pay Details

$81,600 - $115,200 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.

Job Description

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

Senior Compliance Business Analyst

The Senior Compliance Business Analyst position covering Exchange Traded Products Compliance Advisory 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 Senior Analyst 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.
• 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 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

• 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 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 v