Senior Compliance Oversight & Trading Risk Analyst

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

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.