Surveillance Analyst, DI Business Surveillance – PWM Wealth Business Controls

Description

Reporting to the Senior Manager or Manager, DI Business Surveillance, the Surveillance Analyst (SA) is responsible for executing against a broad range of surveillance and regulatory activities including select Tier 1 supervision accountabilities for DI. As a regulatory subject matter expert, they are accountable for addressing regulatory and compliance related matters, with particular focus on requirements of the Canadian Investment Regulatory Organization (CIRO), Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) regulations, and Canada’s Privacy Act.

Accountabilities

Detailed accountabilities and objectives within this role include, but are not limited to the following:

• Conduct effective and timely Tier 1 supervision of client account activity, as defined in a centralized structure. As an example, the position will be responsible for daily trade supervision as well as monthly account supervision.

• Ensure trading and account activities are within CIRO regulations by reviewing daily & monthly trading activities and identifying / reporting any unusual trading or account activity.

• Conduct effective and timely review of numerous business reports (e.g., OMS Override Edits report, Low Price Security report, Account Monitoring reports), disseminate relevant information to business partners and ensure spot checks are conducted & follow up as necessary.

• Use available tools to track, trend and investigate areas of possible regulatory and/or business risk; reach sound conclusions and recommendations based on that analysis and communicate those effectively to Business or Wealth Compliance partners

• Provide a source of information for management by investigating enquiries, providing details as required to assist in investigations and responding to various management requests on a timely basis

• Using the Email Supervision tool, the SA will Conduct Tier 1 Supervisory review of Registrants electronic communications to ensure they are compliant with CIRO regulations. Escalate appropriately any findings where there may be misconduct / concerns

• Provide a source of information for management by investigating enquiries, providing details as required to assist in investigations and responding to various management requests on a timely basis

• Communicate effectively on compliance related matters within TD Wealth to achieve effective regulatory oversight.

• Adheres to Global AML/ATF policies, processes and controls in the DI Business so as to effectively mitigate AML/ATF risk.

• Maintain extensive knowledge of regulatory, compliance and operational requirements.

• Contribute and share ideas by proactively engaging with the team and the management

• Participate fully as a member of the team and contribute to a positive work environment

• Assist with presentations and training/information sessions to peer group

• Assist with special projects, or investigations, as required.

• Other duties as assigned.

Technical Requirements

• Undergraduate Degree or Community College Diploma preferred.

• Licensed with Canadian Investment Regulatory Organization (CIRO) as an Investment Representative

• Minimum of 2 years Relevant Experience

• CIRE – Canadian Investment Regulatory Exam

• RSE - Retails Securities Exam

• Supervisor Exam

• Derivative Exam

Skills

• Sound working knowledge of the fundamentals and techniques of trading including all relevant issues of compliance and the relevant policies of regulatory and government agencies

• Sound knowledge of the TD Wealth (DI) business

• Familiarity with Kyndryl is required

• Experience with Actimize and/or Smarsh would be an asset

• Strong communication, interpersonal and organizational skills

• Detail oriented, highly organized, and able to multitask in a fast-paced, dynamic environment

• Ability to work independently, think critically and make decisions

• Proficient with MS Office

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