Compliance Governance & Operations Analyst I - Hiring Now

We are looking to hire a driven Compliance Governance & Operations Analyst I to join our stellar team at Toronto-Dominion Bank in Toronto, ON.
Growing your career as a Full Time Compliance Governance & Operations Analyst I is a great opportunity to develop useful skills.
If you are strong in decision-making, project management and have the right personality for the job, then apply for the position of Compliance Governance & Operations Analyst I at Toronto-Dominion Bank today!

Company Overview

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Department Overview

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 perspective
Global Trade Surveillance is a second line of defense and is independently responsible for providing centralized trade surveillance on behalf of TDS trading desks located in Canada, US, UK, Ireland, and Singapore. Team covers the Metals, Institutional Fixed Income, FX and their derivatives, Equities and their derivatives, and sales and trading businesses globally for TD Securities.

Job Description

Trade Surveillance (80%)
• Ensure T+1 timeline for trade surveillance is adhered to, except, any special circumstances
• Understand asset class responsible for as per team requirements
• Analyze the data source and able to draw conclusions to meet review requirements
• Understand the trade flow from start to finish, including booking system, files being used for alert generation
• Familiarize with the emerging trends pertaining to regulatory changes and remain updated on the markets and the products assigned for
• Proactively identify matters requiring additional review and when to escalate to GTS Management and Advisory partners
• Develop a thorough understanding of the module after 1 year and continuously look for efficiencies and enhancements to the work
Internal
• Identify the gaps and improvements that need to be done on calibrations and communicate to seniors in the team
• Highlight the scope for increasing manual efficiency
• Update the case management for every escalation and follow-up on pending open items on a regular basis
• Keep UpToDate of current affairs including reading news about the markets, recent fines in various geographies, and/or any public material event

Project Management (10%)
• Support audit related activities by providing documents being asked for
• During the Compliance procedure manual update, review the current document and suggest making any changes in the new review

Relationship Management (5%)
• Familiarize with the stakeholders including the front office team, TBM, and the support functions including technology and operations
• Network with the Global Advisory teams pertaining to the review module
Develop Your Colleagues (5%)
• Able to network with other colleagues in GTS and showcase presence
• Involve colleagues within GTS for a team event

Requirements

• 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

Additional Information

**There is a Pre-identified candidate**

Hours

37.5

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

Benefits of working as a Compliance Governance & Operations Analyst I in Toronto, ON:

● Company offers great benefits
● Company offers career progression opportunities
● Advantageous package