Senior Compliance Business Oversight Analyst (2077)

at  TD Bank

JOB DESCRIPTION

• Maintain the Grey List and Restricted List and advise on information barrier issues
• Provide compliance coverage for the Control Room as well as all private side business within TD Securities including Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity Capital Markets), Global Credit and Debt Capital Markets
• Assist with collaborating with Investment Banking, Global Credit and Equity Capital Markets personnel Globally in evaluating transactions to determine securities for inclusion on the Grey List or Restricted Lists
• Compliance and real time support and advice to business areas within Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity Capital Markets), Global Credit and Debt Capital Markets including real-time deal flow
• Responsible for reviewing and resolving the escalation of research related issues as they relate to Investment Banking transactions and potential restrictions
• Responsible for monitoring communications including electronic and video communications within Investment Banking and other dealer groups in line with regulatory requirements and objectives
• Responsible for trade monitoring and surveillance particularly with respect to the Grey and Restricted Lists
• Monitor business activities between Equity Research and Investment Banking and ensure groups are conducting business activities independently
• Assist in the development of the compliance testing program with operational procedures to address internal TD policies and industry best practices
• Maintain and enhance policies and procedures within the group
• Provide guidance, advice and rule interpretation to the business lines and leaders, often without advance notice
• Provide guidance and education on regulatory and internal policy to TD Securities management and staff using both formal and informal training methods
• Identify compliance related issues and escalate issues identified to business unit management and monitoring for resolution
• Identify compliance requirements as per legislation, policies, self-regulatory by-laws and rulings that relate to the distribution of securities and maintaining testing documentation and records
• Respond to inquiries from regulators
• Projects as assigned
• Implement and enhance policies and procedures
• Foster a cooperative working relationship with our business unit partners and key regulators
• Participate in industry forums and committees where applicable

JOB REQUIREMENTS

Proficiency requirements and skills:

• Have a diverse range of financial products knowledge and working knowledge of market rules and regulations
• A general understanding of registration and surveillance activities is desirable
• Thorough knowledge of the securities industry and operations of the capital markets
• Ability to 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, and flexibility to work different shifts to cover for other coworkers, where necessary
• 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
• 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), Conduct and Practices Handbook (CPH) and Trader Training Course (TTC) desirable but not required
• Completion of other industry courses desirable but not required

EDUCATION AND ACCREDITATION

• University degree
• Minimum 5 years compliance/industry experience in a senior position within a 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.

• Conducting monitoring and surveillance
• Providing training and education
• Liaising with regulators
• 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