Compliance Governance & Operations Analyst I

  • Full Time
  • Toronto

TD Bank

Work Location:

Toronto, Ontario, Canada



Line of Business:


Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Department Overview:

The Compliance Department is responsible for identifying and preventing violations of regulatory requirements by both employees and clients.

This is accomplished by:

Conducting cross monitoring and surveillance for cash and derivatives such as Bond/Futures and Equity/Options
Providing training and education to business and support personnel
Liaising with regulators and internal auditors
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

Global Trade Surveillance is a second line of defense and independently responsible for providing centralized trade surveillance on behalf of TDS trading desks located in Canada, US, UK, Ireland, and Singapore. Team covers the Metals, Institutional Fixed Income, FX and their derivatives, Equities and their derivatives, and sales and trading businesses globally for TD Securities.

This role will report to the Manager, Global Trade Surveillance.

Job Responsibilities
Trade Surveillance (80%)
Ensure T+1 timeline for trade surveillance is adhered to, except, any special circumstances
Understand asset class responsible for as per team requirements
Analyze the data source and able to draw conclusions to meet review requirements
Understand the trade flow from start to finish, including booking system, files being used for alert generation
Familiarize with the emerging trends pertaining to regulatory changes and remain updated on the markets and the products assigned for
Proactively identify matters requiring additional review and when to escalate to GTS Management and Advisory partners
Develop a thorough understanding of the module after 1 year and continuously look for efficiencies and enhancements to the work
Identify the gaps and improvements that need to be done on calibrations and communicate to seniors in the team
Highlight the scope for increasing manual efficiency
Update the case management for every escalation and follow-up on pending open items on a regular basis
Keep UpToDate of current affairs including reading news about the markets, recent fines in various geographies, and/or any public material event

Project Management (10%)
Support audit related activities by providing documents being asked for
During the compliance procedure manual update, review the current document and suggest making any changes in the new review

Relationship Management (5%)
Familiarize with the stakeholders including the front office team, TBM, and the support functions including technology and operations
Network with the Global Advisory teams pertaining to the review module

Develop Your Colleagues (5%)
Able to network with other colleagues in GTS and showcase presence
Involve colleagues within GTS for a team event

Proficiency requirements and skills
Knowledge of Capital Markets, OTC market structure and operations and the associated regulatory risk
Familiarity with the Universal Market Integrity Rules (UMIR), Le Bourse Exchange, CFTC, NFA and applicable securities Commission rules
Minimum 2-3 years of experience, preferably in Capital Markets
Ability to work independently, think critically and make decisions
Excellent communication skills, both written and oral, as role requires frequent conversations with traders and salespersons
Ability to deal with staff and management at all levels in TD Securities and TDBG
Ability to work under pressure and meet deadlines
Strong personal integrity in dealing with confidential and sensitive information
Good to have Canadian Securities Courses (CSI) CSC, DFC, OLC, OPSC and FIT

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
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
CPH and Trader Training course are desirable, but not required

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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking.

Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals.

As an organization, we keep growing – and so will you.

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:
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.

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. 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.

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.

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: