JOB DESCRIPTION

TD has enhanced its Regulatory Compliance Management (RCM) program and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk.
The Senior Analyst will primarily support and manage the implementation of key programs that support the RCM Framework and Merlin.
The role interacts closely with our first line of defense partners in Canada, US and Europe/Asia Pacific, our Compliance partners, and other RCM stakeholders.

JOB ACCOUNTABILITIES

The general accountabilities of this role include, but are not limited to, the following:

• Support and perform RCM Monitoring and Testing of TDS businesses following the principles of the Monitoring & Testing Standards.
• Support all elements of the TDS RCM program, including the update, development, communication, and implementation of TDS RCM procedures to align with new enterprise RCM Standards.
• Build and maintain constructive relationships with TDS and Compliance partners as well as other key stakeholders to ensure TDS RCM Program requirements are understood and met.
• Liaise with business and governance partners to implement TDS RCM Program changes and support the maintenance of TDS RCM inventories, processes, and Issues Management in the MERLIN application.
• Maintain a comprehensive understanding of existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.
• Assist with drafting material for TDS and enterprise RCM committees, meetings, or training.

JOB REQUIREMENTS

• Proven effective communication skills.
• Knowledge of TD Securities businesses is preferred.
• Experience in Compliance or Risk Management is a plus.
• Project management skills and ability to manage multiple work streams involving different partners and groups.
• Ability to understand, analyze, interpret, and apply relevant regulations in an operational context in an environment that is ever changing and has competing priorities.
• Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.

WHO WE ARE:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

• Support and perform RCM Monitoring and Testing of TDS businesses following the principles of the Monitoring & Testing Standards.
• Support all elements of the TDS RCM program, including the update, development, communication, and implementation of TDS RCM procedures to align with new enterprise RCM Standards.
• Build and maintain constructive relationships with TDS and Compliance partners as well as other key stakeholders to ensure TDS RCM Program requirements are understood and met.
• Liaise with business and governance partners to implement TDS RCM Program changes and support the maintenance of TDS RCM inventories, processes, and Issues Management in the MERLIN application.
• Maintain a comprehensive understanding of existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.
• Assist with drafting material for TDS and enterprise RCM committees, meetings, or training