Compliance Business Oversight Analyst I (5072)

Work Location:

Toronto Ontario Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$59500 - $84000 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:

Job Description

Provide operational and oversight support for employee personal trading and professional account compliance programs. The role is responsible for administering attestations monitoring disclosed external brokerage accounts reviewing statements and flagged activity and supporting compliance with employee trading and conflicts-of-interest requirements in accordance with applicable securities regulations and internal policies.

Key Accountabilities

Customer

• Administer and monitor employee account attestation processes including follow-up on incomplete deficient or overdue submissions.

• Review disclosed internal and external brokerage accounts to ensure accounts are appropriately classified and compliant with employee trading policies.

• Review brokerage statements and transaction activity to identify potential violations of employee trading restricted securities or conflicts-of-interest requirements.

• Respond to inquiries from employees business partners and external institutions regarding employee trading requirements and account disclosures.

• Coordinate with internal partners to support account transfers closures rollovers and ongoing monitoring requirements.

• Document review outcomes correspondence and supporting evidence in accordance with audit and regulatory expectations.

Shareholder

• Support the effective operation of employee trading compliance programs through accurate execution and timely follow-up.

• Identify and escalate potential policy breaches data gaps or control issues requiring further review or remediation.

• Assist with internal audits regulatory inquiries and compliance reviews by gathering information and maintaining required records.

• Contribute to reporting and reconciliation activities related to attestations statements and monitoring results.

• Apply established compliance procedures consistently to protect the interests of the organization and maintain regulatory alignment.

Employee / Team

• Participate as an active member of the compliance oversight team supporting shared inboxes and assigned workflows.

• Maintain up-to-date knowledge of employee trading requirements and related compliance policies.

• Communicate clearly and professionally with employees and partners regarding compliance requirements and next steps.

• Contribute to team objectives by assisting with ad-hoc projects initiatives and process improvements as required.

• Support a positive inclusive and risk-aware team environment.

Breadth & Depth

• Perform multiple operational and review tasks on a daily weekly and monthly basis within defined compliance frameworks.

• Apply judgment to identify potential risks deficiencies or exceptions requiring escalation.

• Develop working knowledge of employee trading conflicts of interest and personal account dealing requirements.

• Manage assigned cases and follow-ups with attention to timeliness accuracy and documentation standards.

• Interact regularly with internal stakeholders and external institutions in support of compliance obligations.

Experience & Education

• Undergraduate degree or equivalent work experience preferred.

• 1 years of experience in compliance operations risk management or a related financial services role.

• Basic knowledge of securities regulations employee trading rules or conflicts-of-interest concepts an asset.

• Strong organizational communication and attention-to-detail skills.

• Ability to manage multiple tasks follow defined procedures and meet regulatory timelines.

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: 59500 - 84000