JOB DESCRIPTION / ACCOUNTABILITIES:
The Senior Advisory Compliance Officer (VP) will have responsibility for Compliance activities relating to the FICC markets businesses focusing on Commodities and Fixed Income or FX and is therefore expected to be a product specialist.
- Good understanding of the Based and Precious Metals business, including LME and LBMA requirements. Ideally additional understanding of Fixed Income or FX products.
- Quickly build an understanding of the business lines, including booking models, products, transaction types and nature of business, covering and providing advice to multiple trading and sales desks.
- Build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.
- Provide guidance to more junior members of the team.
- Assess new business proposals versus pertinent laws, regulatory requirements and exchange rules including coordinating with global Advisory Compliance teams where required.
- Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
- Provide real-time advice to the business regarding proposed transactions in a timely manner.
- Assist internal stakeholders where required with product and/or market expertise, such as Trade Surveillance, Risk, Internal Audit, Operational Risk, Operations.
- Create and deliver training to the business and other functions as required, covering topics such as market abuse, trading venue rules and other topics pertinent to specific business lines.
- Creation and review of Advisory Compliance policies and procedures.
- Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation for potential STOR submissions.
- Assist with responding to any relevant regulatory requests.
EDUCATIONAL REQUIREMENTS / ACCREDITATIONS / OTHER QUALIFICATIONS / SKILLS / EXPERIENCE:
- Minimum of 7 years of demonstrated relevant experience in the industry. Knowledgeable of regulations and industry best practices.
- Solid understanding of Metal markets, products and business practices with at least 3 years of product experience. Ideally additional in-depth knowledge of one or more areas of Fixed Income or FX.
- To be a self-starter who is able to identify potential areas of risk and be comfortable approaching the business to discuss as required.
- Knowledge of major industry regulations such as MiFID II, EMIR, MAR.
- Be familiar with relevant industry standards and statements of good practice, particularly market rules and relevant codes and guidance.
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.
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