Senior Manager/Director, Compliance Business Oversight, TDS Compliance Advisory

at  TD Bank

PROFICIENCY REQUIREMENTS AND SKILLS:

• 10+ years of relevant compliance experience.
• A strong familiarity with CIRO, MX, OSC and applicable securities Commission regulations.
• Strong knowledge of Canadian Capital Markets – preferably fixed income and OTC Derivatives markets structure and/or operations.
• Comfortable in a trade desk environment and communicating with front office staff members in a fast-paced environment.
• Excellent communication skills, both written and oral
• Strong personal integrity in dealing with confidential and sensitive information.
• Self-motivated, confident, and capable of working both independently and in a team environment.
• Strong people management skills.

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 think critically and make decisions.
• Strong interpersonal relationship management skills and ability to deal with staff and management at all levels in TD Securities and TDBG

THE TD SECURITIES INC. (TDSI) COMPLIANCE DEPARTMENT IS RESPONSIBLE FOR THE COMPLIANCE STRATEGY AND OVERSIGHT PROGRAMS, INCLUDING DESIGNING AND IMPLEMENTING MONITORING AND SUPERVISORY PROGRAMS FOR THE FIRM. THIS IS ACCOMPLISHED BY:

• 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 perspective

PRIMARY RESPONSIBILITIES:

• Support the AVP in day-to-day management of the compliance team, including ensuring the team can execute its mandate and deliver its ongoing responsibilities and fulfill its reporting obligations.
• Lead a team including coaching, training, work output quality assurance and oversight of direct and indirect reports.
• Provide input and actively participate on proposed or new regulatory initiatives affecting the Canadian Marketplace including liaising with different parts of the organization, assessing risk to TDSI, and all follow-up with the regulators. Be part of the relevant internal and external working groups and committees regarding regulatory change.
• Provide timely advise and ongoing guidance to the business on relevant policies and procedures.
• Develop key partnerships and foster collaborative relationships with internal stakeholders and business partners.
• Assist in executing the second line of defense responsibilities of the Enterprise Regulatory and Compliance Management Framework.
• Assist in maintaining, designing and creating supervisory reviews to ensure compliance oversight align with business strategies.
• Interact with IT support and Risk Management to ensure technology and business practices remain compliant with Firm policies and industry regulations.
• Develop and maintain relationships with counterparts at each of the relevant Canadian Securities Regulators and maintain a high level of awareness of compliance related changes and developments in the securities industry.