Senior Compliance Business Oversight Analyst (4870)

Description

Reporting to the Senior Manager, Compliance Business Oversight, the Senior Compliance Business Oversight Analyst's focus will be twofold. The first is assisting with the management of the employee conduct oversight program for multiple TD Wealth businesses. Activities include the enforcement of policies and procedures focusing on personal trading, gifts and entertainment, management of material non-public information (MNPI), personal trading, electronic communication surveillance, as well as general exception management.

The second is providing second line pre/post trade oversight of the trade order management system for TD Asset Management Inc. (TDAM). This is comprised of the setup and implementation of the oversight program itself, monitoring portfolio and investment fund trading activity, liaising with various trade desks and other business partners, and executing the effective challenge function to ensure compliance with trading regulations and securities laws.

This position requires strong knowledge regulatory frameworks and best practices for managing conduct and regulatory risk within an asset management environment. Working with other senior analysts on the team, the successful candidate will oversee processes to ensure compliance with applicable securities regulations and industry best practices and create a suite of senior management and board-level reports on a regular basis.

The successful candidate will be expected to continuously review processes and not only suggest improvements, but implement them. Driving process optimization is critical to enhancing both compliance effectiveness and operational efficiency. Regularly identifying gaps and proactively developing solutions will ensure the oversight program remains robust, adaptive, and aligned with industry best practices.

Additional Information

Because this position involves managing highly confidential and sensitive information every day, strong soft skills—especially communication (both verbal and written) and discretion—are essential. The ideal candidate must demonstrate an ability to maintain strict confidentiality while effectively influencing and guiding employees to adhere to compliance policies and procedures.

Key Accountabilities

• Management, maintenance, and improvement of the employee conduct and personal trading oversight program elements and processes for TD Wealth businesses

• Be a subject matter expert on assigned projects and initiatives with a focus on regulatory requirements, policies and procedures, effective controls, and supervision

• Provide compliance review, evaluation, reporting and/or analytical support in a timely manner related to employee personal trading, electronic communications, and gifts and entertainment (G&E) requests and other compliance matters as assigned.

• Identify, investigate and analyze current and emerging regulatory/compliance issues and/or trends relating to operational compliance programs

• Responsible for monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall-crossings.

• Responsible for oversight of portfolio monitoring in the Bloomberg system for TDAM

• Ensure investment and trading activities are conducted in accordance with the regulatory and internal requirements.

• Empowered to make prudent professional decisions, and/or provide strong rationale when escalating inquiries to the Senior Manager

• Maintain good knowledge of regulations (i.e. NI 31-103, NI 81-102, NI 81-107, etc.,), and strong knowledge of industry best practices

• Acts as the primary subject matter expert for regulations applicable to business partners and provides guidance, consultation and expert advice with respect to the business partners' compliance with such regulations directly related to the operations of the business

• Create training content and may train business partners on regulatory requirements

• Support TD Wealth Compliance team members and management on a variety of projects, initiatives and other ad-hoc requests as assigned

• Work with business management, and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations

• Review audit trail documentation and recommend enhancements to relevant procedures

• Protect the interests of the organization – identify and manage risks, and promote the prompt and thorough resolution of escalated nonstandard, high risk issues

EMPLOYEE / TEAM

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and promote timely communication of issues/ points of interest

• Provide thought leadership and / or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business

• Keep current on emerging trends / developments and grow knowledge of the business, related tools and techniques

• Participate in personal performance management and development activities, including cross training within own team

• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities

• Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices

• Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships

• Contribute to a fair, positive and equitable environment that supports a diverse workforce

BREADTH & DEPTH

• Expert level professional role requiring in-depth knowledge / expertise in Compliance and working knowledge of broader related areas

• Recommend and implement solutions within own area of responsibility

• Strong critical thinking, organizational and problem-solving skills

• Has the ability to understand regulatory requirements and apply that knowledge to business-specific scenarios

• Strong interpersonal skills with the ability to interact at all levels of the Bank with superior organizational awareness

• Oversees and / or independently performs work from end to end, executing on more complex and / or non-standard requests

• Performs complex analysis and reporting

• Delivers on priorities under tight deadlines in in an evolving, sometimes ambiguous environment

Job Requirements

• Minimum 7 years of relevant business, Compliance, Risk or investment management experience preferred

• University degree, with a major/specialty in finance; investment industry accreditation (e.g., CIM) or relevant CSI courses is an asset but not required

• Previous experience at an asset manager is required, and experience in pre/post trade analysis strongly preferred

• Exposure to Trade Order Management System (Bloomberg, Charles River, Sentinel, etc.)

• Familiarity with investment fund and portfolio manager operations and trading activities

• Knowledge of regulations for portfolio manager, exempt market dealer and investment fund manager (Canada) and institutional clients and alternative investments

• Strong knowledge of financial instruments and related products across asset classes (equities, fixed income, derivatives, etc.)

• Strong influence skills, with the ability to work collaboratively as well as independently

• Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques

• Detail-oriented, highly organized, and able to work in a dynamic environment

• Demonstrated strong writing skills, including board and committee reports and drafting procedural documents

• Able to manage tight deadlines and multiple competing priorities

• Flexibility to adapt to changing priorities combined with strong attention to detail and strong organizational skills to thrive in a dynamic environment

• Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.

• Ability to deal with conflicting points of view and to effect creative and responsive solutions.

• Excellent verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills.

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.

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