Compliance Governance & Operations Analyst II

at  TD Bank

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.

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 perspectiv