Senior Compliance Oversight Lead, Exchange-Traded Products

TD; Toronto; On-site; CAD 82,000 - 115,000; Full time

Job summary

TD Securities Inc. (TDSI) Compliance Department seeks a Senior Compliance Business Analyst to advise on regulatory requirements for Exchange Traded Products, working with business partners to develop, communicate, implement and maintain policies ensuring regulatory alignment.

The role requires responsiveness in time‑critical situations, ongoing monitoring of regulatory developments, and collaboration with cross‑functional teams.

Qualifications

• Strong familiarity with equities and listed derivatives products and trading requirements.
• Solid knowledge of UMIR, TSX Rules, Montréal Exchange Rules and NI frameworks.
• Experience with data analytics and Power BI to improve compliance processes.

Responsibilities

• Provide strategic oversight of compliance initiatives and drive end-to-end project delivery.
• Perform compliance monitoring for equity and listed derivatives activities.
• Update and implement compliance procedures in response to regulatory changes.
• Deliver training on regulatory matters to Capital Markets staff.
• Prepare and present compliance reports to senior committees.

Skills

Equities & derivatives rules

Power BI & data analytics

Regulatory monitoring

Project management

Regulatory exams & audits

Data interpretation

Strong communication

Integrity & discretion

Tools

Power BI

Job description

TD Securities Inc. (TDSI) Compliance Department seeks a Senior Compliance Business Analyst to advise on regulatory requirements for Exchange Traded Products, working with business partners to develop, communicate, implement and maintain policies ensuring regulatory alignment.

The role requires responsiveness in time‑critical situations, ongoing monitoring of regulatory developments, and collaboration with cross‑functional teams.