Compliance jobs in Canada

Toronto, Ontario, Canada

37.5

TD Securities

$100,000 - $125,000 CAD

This role is eligible for a discretionary variable compensation award that considers business and individual performance.

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.

TD Securities (TDS) is one of the world's leading wholesale banks with operations spread across 31 cities globally. TDS is a top two dealer in Canada with a growing US business and global execution capabilities and is a full-service provider of Global Markets and Corporate and Investment Banking products.

Global Transaction Banking (GTB) provides payments, liquidity, and working capital solutions across five product families and four client segments.

• Corporates
• Financial Institutions
• Non-Bank Financial Institutions
• Public Sector
• Payments
• Receivables
• Deposit & Liquidity Solutions
• Trade & Working Capital Solutions
• Digital, Data, and Analytics

GTB serves TDS clients, who are the largest and most sophisticated within the bank and possess a comprehensive and complex set of business needs. Transaction Banking is a technology-powered product set that is deeply ingrained into the financial and operating systems of clients.

GTB partners closely with other TDS groups across Corporate & Investment Banking as well as Global Markets, serving all industry coverage areas.

The transaction banking industry is evolving rapidly and GTB is a key growth area for TDS. This role will offer a front-row seat to transformation driven by technological innovation, regulatory changes, and evolving client needs.

• Be Part of Change: Work on innovative solutions that redefine how our clients manage liquidity, payments, and trade finance in a fast-paced and global environment.
• Gain Broad Exposure: Collaborate across teams, industries, and geographies, building a foundation in client service, risk management, and product strategy.
• Make a Real Impact: Contribute to meaningful projects that solve critical challenges for our clients while shaping the future of banking.

GTB Financial Institutions (FIs) provides Canadian payment clearing and settlement services to financial institutions globally who fall within our strategy and risk appetite. As an integral team member in FI coverage, you will have responsibility for managing product profitability, provide exceptional client servicing, act as first line of defence for risk and internal compliance, as well as support a broader TDS wide client relationship management mandate. Effective and impactful FI coverage means delivering a one‑TD experience to our FI clients and prospects, developing cross‑franchise partnerships. Internally within TDS, one‑TD means working in close collaboration with partners in Debt Capital Markets (DCM), Fixed Income, Foreign Exchange and TD’s Treasury and Balance Sheet Management (TBSM) to achieve strategic outcomes.

The Associate will report to the Head of Account Management in the Financial Institutions division in Global Transaction Banking. Accountabilities for the Associate role includes (but not limited to):

• A client facing role supporting the origination team providing account and relationship management of existing FI clients.
• Understanding the overall TDS client origination strategy across Markets and Corporate & Investment Banking.
• Support activity to increase sales revenue by adding new clients and increasing the penetration and profitability of GTB FI products and services.
• Attend client pitches with GTB team members and other TDS calling officers.
• Work closely with the Relationship Managers to complete RFPs, pitch decks, briefing notes and call reports.
• Ability to perform detailed analysis and see the bigger picture, using empirical data to inform decision‑making.
• Engage regularly with clients attending formal meetings and social events to develop and deepen relationships with clients and prospects.
• Support the sales process and the relationship build out strategy for clients and prospects.
• Addressing client escalations with urgency while maintaining the highest level of service and support throughout the process.
• Work closely with the Relationship Manager, Regional Head, Global Head and provides support in all aspects related to the business, including administrative, transactional and relationship management related activities.
• Significant focus on credit and operational risk control and management.
• Assist to manage/monitor payment activities to ensure established GTB credit lines are not breached, and request credit limit increases (temporary or permanent) where appropriate.
• Assist in annual and new client KYC review, documentation collection and signoff.
• Ensure monthly billing is accurately completed for fee collection, interest charges/payments.
• Work closely with other partners within TD Securities (U.S. and Canada) including: Investment Banking, Credit Origination, Credit Management, Foreign Exchange, Money Markets, among others.
• Liaise and maintain positive working relationships with Global Operations Banking Services, across teams within GTB (i.e., Product Management, Compliance, Network Management) and various business groups throughout TD Securities.
• Support the onboarding of GTB clients, including a detailed understanding of the know your customer and anti‑money laundering policies and frameworks.
• Manage the implementation of new products and services, including negotiation of legal documents.
• Maintain adherence to GTB specific credit facilities, including liaison with credit management and risk management functions.
• Continuously learn about new and innovative GTB products and services.
• Full understanding and adherence to the Bank's AML policies and procedures are required.
• Mentor and train junior team members.

• Excellent communication skills and strong business and finance analysis skills, or relevant experience.
• Experience and/or knowledge of Global Transaction Banking Businesses.
• Possess a high EQ.
• Strong work ethic and commitment to business goals and high professional standards.
• Ability to work effectively in both independent and team environments.
• Self‑starter with a positive attitude and creative problem‑solver.
• Effective organizational skills and flexibility for adapting to changing priorities.
• Flexibility to occasionally work non‑traditional hours.
• A people person who thrives on social interaction.
• Advanced analytical and data manipulation skills.
• Ability to work effectively in both independent and team environments.
• Sound knowledge of MS Office applications (Word/ Excel/ PowerPoint).
• Undergraduate or graduate degree, with strong academics.
• Client support experience at the corporate/institutional level is of high interest.
• Knowledge of Credit administration and procedures (CAIRO) is an asset.
• Knowledge of the technology and operations involved in wire payments, paper clearing and the Canadian Payments settlement system more broadly is an asset.
• Industry experience and accreditations (CFA, CTP, etc.) are highly desirable.

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry‑leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly‑diverse equity research franchise, while growing our strong, diversified investment bank. We are growth‑oriented, people‑focused, and community‑minded. As a team, we work to deliver value for our clients every day.

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.

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.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

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.

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.

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