Senior Compliance Business Oversight Analyst

at  TD Bank

KEY ACCOUNTABILITIES

• Assist in the oversight of the investment compliance program elements and processes for TD Asset Management. Responsible for oversight of portfolio monitoring in the Bloomberg system.
• Ensure investment and trading activities are conducted in accordance with the regulatory and internal requirements. Assist in implementation and testing of compliance and portfolio management systems. Create new processes utilizing technology to improve efficiencies.
• Identify and facilitate the resolution and documentation of any trading errors.
• Be a subject matter expert on assigned projects and initiatives with a focus on regulatory requirements, policies and procedures, effective controls, supervision and testing expectations
• Understand the trade flow from start to finish, including booking system, data and files being used for alert generation and be able to identify control improvements.
• Understanding of the regulatory framework and industry best practices (e.g., NI 81-102, NI 81-107, NI 31-103 etc.,)
• Provide objective guidance, challenge and support on other regulatory compliance related matters raised by the business
• Support Wealth Compliance team members and management on a variety of projects, initiatives and other ad-hoc requests as assigned by AVP, Compliance.
• Maintain strong and collaborative relationships with other Compliance teams, corporate and control functions including Legal, ORM, etc.
• Assist with management reporting and the maintenance of the compliance issues database

JOB REQUIREMENTS

• University degree, with a major/specialty in investment industry accreditation (e.g., CIM) and/or CFA Institute’s Chartered Financial Analyst (CFA) is an asset
• Minimum 7 years of relevant business, Compliance, Risk or investment management experience preferred
• Knowledge of regulations for portfolio manager, exempt market dealer and investment fund manager (Canada) and institutional clients and alternative investments.
• Experience working with automated compliance systems (Bloomberg, Charles River) to design pre-trade and post-trade controls to detect and prevent breaches of regulatory and client-specific guidelines.
• Solid knowledge of trade desk and portfolio management operations
• Strong knowledge of financial instruments and related products across asset classes (equities, fixed income, derivatives, etc.)
• Strong influence skills, with the ability to work collaboratively as well as independently
• Detail-oriented, highly organized, and able to work in a dynamic environment
• Demonstrated strong writing skills, including drafting process documents
• Able to manage tight deadlines and multiple competing priorities

THE GLOBAL COMPLIANCE DEPARTMENT IS RESPONSIBLE FOR OVERSEEING REGULATORY COMPLIANCE ACROSS TD BANK GROUP IN ACCORDANCE WITH THE GLOBAL COMPLIANCE OPERATING FRAMEWORK. COMPLIANCE IS RESPONSIBLE FOR DEVELOPING AND MAINTAINING THE PROCESSES BY WHICH BUSINESSES ARE MADE AWARE OF THE LEGISLATION AND REGULATION, UNDER WHICH THEY ARE GOVERNED, AS WELL AS COMPLIANCE TRENDS, EMERGING RISK AREAS AND REGULATORY CHANGES.

Wealth Compliance works pro-actively with the Canadian Wealth businesses and various other departments within TD that provide support to these businesses. We ensure regulatory compliance; protect the interests of the firm, its employees and clients while supporting the sales and productivity objectives of our business partners.