JOB DESCRIPTION
- Responsible for monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall-crossings
- Maintain up-to-date lists of employees in the StarCompliance System for appropriate coverage
- Assign and follow up attestations
- Complete and file Insider Trading Reports for directors and senior officers of TDBG
- Manage broker feeds and monitor paper statements
- Manage TDS Chatbot
- Provide day-to-day support to employees in relation to personal trading requirements
- Responsible for coordinating with the business in keeping the static user groups (function groups) updated
- Assist in the drafting of training materials and provide training to employees on personal trading requirements as may be required
- Assist in pulling various personal trading reports
- Assist with projects as maybe assigned
- Consistently exercise discretion in handling correspondence, information and all matters of confidentiality; raise issues where appropriate
- Build subject matter knowledge in personal trading requirements and security products and may coach and educate others
- Foster a cooperative working relationship with business unit partners and key regulators.
JOB REQUIREMENTS
Proficiency requirements and skills:
- Strong knowledge of Securities Rules related to insider trading and material non-public information
- Ability to multi-task, work independently, think critically and make decisions
- Excellent communication skills, both written and oral
- 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
OTHER QUALIFICATIONS/SKILLS/EXPERIENCE
- Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities
- Familiarity with ISM or ability to learn new systems
- 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
- Completion of Canadian Securities Course (CSC), Traders Training Course (TTC), and Conduct and Practices Handbook (CPH) desirable but not required
- Completion of other industry courses desirable but not required
EDUCATION AND ACCREDITATION
- University degree
- Minimum 3 years compliance experience within a financial institution or bank-owned dealer
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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