Senior Compliance Testing Analyst, Compliance Monitoring & Testing (5641)

TD Bank Group; Toronto; Vor Ort; CAD 82.000 - 115.000; Vollzeit

Zusammenfassung

TD Bank Group, based in Toronto, is seeking a Senior Compliance Testing Analyst to support the Compliance Monitoring and Testing program within TD Securities. The role involves collaborating with multiple business lines to obtain information, perform testing, and document remediation actions.

The ideal candidate has 3+ years in securities compliance, strong analytical and communication skills, and a proven ability to manage multiple projects in a fast-paced environment.

Qualifikationen

• University degree required.
• 3+ years securities compliance or related securities experience.
• Strong knowledge of CIRO, MX, OSC and related laws and regulations.
• Excellent written and verbal communication skills.
• Ability to manage multiple work streams and meet deadlines.

Aufgaben

• Contribute to the development, execution, and oversight of an effective Compliance Monitoring and Testing program.
• Coordinate with businesses and functions to gather information and documentation for compliance testing.
• Communicate deficiencies and remediation steps clearly in writing and verbally.
• Analyze and summarize information responsive to compliance testing.
• Escalate significant issues to Compliance management in a timely manner.

Kenntnisse

Compliance testing

Data analysis

Project management

Written and verbal communication

MS Office

Ausbildung

University degree

Tools

MS Office

Jobbeschreibung

Work Location

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.

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

Position Summary

Senior Compliance Testing Analyst is a newly created role on the Core Compliance team to manage the implementation of Monitoring and Testing program, a key program supporting TD's Regulatory Compliance Management (RCM) Framework.

Responsibilities

• Contribute to the development, execution, and oversight of an effective Compliance Monitoring and Testing program.
• Work with the relevant businesses and functions to obtain information /documentation to carry out relevant compliance testing.
• Communicate extensively (orally and in writing) with the relevant businesses and functions regarding deficiencies and required remedial actions related to compliance testing.
• Analyze and summarize information/documentation responsive to compliance testing.
• Identify mitigating facts and circumstances (as applicable) to rebut issues identified during testing or other engagements.
• Prepare substantive written responses on the outcome of compliance testing and required remediation.
• Work closely with other regional Monitoring & Testing leads of TDS Compliance on any emerging risk issues or common theme where there is need for collaboration.
• Escalate any significant issues to Compliance management on a timely basis.
• Support the development of CAD policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of Canada.
• Assist in the ongoing development of core compliance processes.
• Assist with trade desk reviews in accordance with TDS Compliance mandate.
• Participate in enterprise-wide special projects.
• Cross train across the Advisory team to ensure team coverage

Proficiency requirements and skills

• University degree required.
• 3+ or more years securities compliance or related securities experience required.
• Strong knowledge of CIRO, MX, OSC and other related Laws, Rules and Regulations applicable to the Canadian securities marketplace.
• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
• Strong interpersonal, organizational, and communication (oral and written) skills.
• Experience investigating and making sense of information through data analysis, understanding data patterns and trends, as well as resolving and troubleshooting data integrity.
• Project management skills and ability to manage multiple work streams involving different partners and groups.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
• Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
• Proficient in MS Office

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 undefined

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. Learn more

Additional Information:

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home. 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. We look forward to hearing from you!

Language Requirement (Quebec only)

Sans Objet

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 your community, explore and grow your career and be part of our caring and inclusive culture.

Our 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