Senior Compliance Officer

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Hours:

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Pay Details:

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 candidate's 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 Summary

Provide surveillance and advisory services to TD Asset Management Inc. (TDAM) with respect to compliance with investment management requirements under securities regulations (e.g. NI 81-102, NI 31-103, etc.) and industry best practices, with particular emphasis on the oversight of the controls designed by TDAM for monitoring compliance with regulatory and client guidelines. Act as the Compliance surveillance lead responsible for monitoring/testing the design, effectiveness, and adequacy of the TDAM 1B's pre- and post- trade controls. This includes providing advisory support during the design of new controls, challenging existing controls, ensuring the 1B is addressing alerts and control weaknesses in a timely manner and tracking and monitoring findings related to controls through to remediation.

Build and manage an effective and customized compliance oversight program for TDAM consistent with TD Compliance Standards, to detect and mitigate regulatory violations and breaches of internal policies and procedures relating to regulatory requirements, using a risk-based approach.

Key Accountabilities

• Assist in the oversight of the investment compliance program elements and processes for TD Asset Management. Responsible for oversight of portfolio monitoring in the Bloomberg system.
• Ensure investment and trading activities are conducted in accordance with the regulatory and internal requirements. Assist in implementation and testing of compliance and portfolio management systems. Create new processes utilizing technology to improve efficiencies.
• Identify and facilitate the resolution and documentation of any trading errors.
• Be a subject matter expert on assigned projects and initiatives with a focus on regulatory requirements, policies and procedures, effective controls, supervision and testing expectations
• Understand the trade flow from start to finish, including booking system, data and files being used for alert generation and be able to identify control improvements.
• Understanding of the regulatory framework and industry best practices (e.g., NI 81-102, NI 81-107, NI 31-103 etc.,)
• Provide objective guidance, challenge and support on other regulatory compliance related matters raised by the business
• Support Wealth Compliance team members and management on a variety of projects, initiatives and other ad-hoc requests as assigned by AVP, Compliance.
• Maintain strong and collaborative relationships with other Compliance teams, corporate and control functions including Legal, ORM, etc.
• Assist with management reporting and the maintenance of the compliance issues database

Additional Information

• Flexibility to adapt to changing priorities combined with an 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.
• Understanding of Compliance Program and law and regulation as it applies to the financial services sector.
• Knowledge of relevant Canadian financial industry legislation.
• Excellent verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills.
• Ability to deal with conflicting points of view and to effect creative and responsive solutions.

Department Overview

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TD Bank Group in accordance with the Global Compliance Operating Framework. Compliance is responsible for developing and maintaining the processes by which Businesses are made aware of the legislation and regulation, under which they are governed, as well as compliance trends, emerging risk areas and regulatory changes.
Wealth Compliance works pro-actively with the Canadian Wealth businesses and various other departments within TD that provide support to these businesses. We ensure regulatory compliance; protect the interests of the firm, its employees and clients while supporting the sales and productivity objectives of our business partners.

Job Requirements

• University degree, with a major/specialty in investment industry accreditation (e.g., CIM) and/or CFA Institute's Chartered Financial Analyst (CFA) is an asset
• Minimum 7 years of relevant business, Compliance, Risk or investment management experience preferred
• Knowledge of regulations for portfolio manager, exempt market dealer and investment fund manager (Canada) and institutional clients and alternative investments.
• Experience working with automated compliance systems (Bloomberg, Charles River) to design pre-trade and post-trade controls to detect and prevent breaches of regulatory and client-specific guidelines.
• Solid knowledge of trade desk and portfolio management operations
• 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
• Detail-oriented, highly organized, and able to work in a dynamic environment
• Demonstrated strong writing skills, including drafting process documents
• Able to manage tight deadlines and multiple competing priorities

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.

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. 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.

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):