Compliance Governance & Operations Analyst II (4922)

Work Location:

Toronto Ontario Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$65600 - $98400 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 candidates 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.

Job Description:

Department Overview

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs including identifying and preventing violations of regulatory requirements by both employees and clients. 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
• Reviewing new business opportunities such as new products or markets from a compliance perspective

Job Description:

• Monitor equity aggregation across TD Bank and affiliates against regulatory thresholds; validate data lineage and calculations to ensure accuracy.
• Generate earlywarning notifications for approaching thresholds; circulate clear evidencebacked updates to business stakeholders.
• Advise stakeholders when disclosure requirements are triggered; coordinate reporting and filing activities with Legal and regional compliance.
• Recommend control and process changes to sustain compliance with aggregation and disclosure rules; document decisions and rationale.
• Collaborate with Legal Finance Operations Technology vendors trading desks and regional compliance to resolve alerts clarify rules and fix data issues.
• Track issues endtoend streamline workflows and implement durable solutions; confirm remediation across systems and stakeholders.
• Manage issue tracking from internal reviews audits and regulatory inquiries; report remediation status and followups clearly and on time.
• Maintain and enhance operational tools and reports; validate outputs and update procedures to reduce manual effort and operational risk.
• Prepare managementlevel metrics dashboards and analyses to support senior decisionmaking escalation discussions and executive updates.
• Act as liaison among business technology and vendor teams; align priorities and timelines verify fixes and ensure timely closure of gaps.
• Uphold confidentiality and professional integrity in handling sensitive information; escalate issues appropriately and consistently.
• Build and share subjectmatter knowledge; coach and educate colleagues on procedures systems and regulatory expectations.
• Maintain process manuals runbooks and training materials; provide coverage during peak periods or critical incidents to support operational resilience.
• Foster cooperative working relationships with business partners and key regulators; participate in relevant industry forums and committees.

Proficiency requirements and skills:

• Strong knowledge of Securities Rules related to insider trading and material non-public information
• Ability to work independently think critically and make decisions
• Excellent communication skills both written and oral
• Strong data analytics skills
• Proficiency with Power BI platform
• Ability to work under pressure and meet deadlines
• Strong personal integrity in dealing with confidential and sensitive information

Other Qualifications/Skills/Experience:

• Ability to understand analyze interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities
• Familiarity with ISM or ability to learn new systems
• 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
• Completion of Canadian Securities Course (CSC) Traders Training Course (TTC) and Conduct and Practices Handbook (CPH) desirable but not required
• Completion of other industry courses desirable but not required

Education and Accreditation

• University degree
• Minimum 2 years compliance experience within a financial institution or bank-owned dealer

Who We Are:

TD is one of the worlds 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 95000 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:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were 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 youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 youre 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.

Were 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 youve got everything you need to succeed in your new role.

Interview Process
Well 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 youd 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

Required Experience:

IC

Employment Type : Full-Time
Experience: years
Vacancy: 1
Monthly Salary Salary: 65600 - 98400