LocationToronto, Ontario, CanadaHours37.5 hours per weekSectorComplianceRemuneration$81,600 - $115,200 CAD per year. Salary may vary based on experience, qualifications, and other factors.Department OverviewThe Global Compliance Department oversees regulatory compliance across TD Bank Group using the Global Compliance Operating Framework. It develops and maintains processes for awareness of legislation, compliance trends, risk areas, and regulatory changes. Wealth Compliance collaborates with Canadian Wealth businesses and other departments to protect the interests of the firm, employees, and clients while supporting sales and productivity objectives.Job DescriptionReporting to the Senior Manager, Compliance Business Oversight, you will assist with:Managing the employee conduct oversight program for multiple TD Wealth businesses, including enforcement of policies on personal trading, gifts and entertainment, material non-public information, electronic communication surveillance, and exception management.Providing second‑line pre/post‑trade oversight of the trade order management system for TD Asset Management Inc. (TDAM), establishing oversight programs, monitoring portfolio and investment fund trading activity, liaising with trade desks, and executing challenge functions to ensure compliance with trading regulations and securities laws.The role requires strong knowledge of regulatory frameworks and best practices for managing conduct and regulatory risk within an asset management environment. You will work with senior analysts to oversee processes, create senior management and board‑level reports, and continuously review and improve procedures to enhance compliance effectiveness and operational efficiency.Additional InformationBecause this position deals with highly confidential information daily, strong soft skills—particularly communication and discretion—are essential. You must maintain strict confidentiality while effectively influencing and guiding employees to adhere to compliance policies and procedures.Key AccountabilitiesManage, maintain,



and improve employee conduct and personal trading oversight program elements for TD Wealth businesses.Act as a subject matter expert on assigned projects and initiatives focused on regulatory requirements and effective controls.Provide timely compliance review, evaluation, reporting, and analytical support on personal trading, electronic communications, and gifts and entertainment requests.Investigate and analyze current and emerging regulatory or compliance issues and trends.Monitor and supervise employee personal trading concerning grey and restricted lists, restricted securities, and wall‑crossings.Oversee portfolio monitoring in the Bloomberg system for TDAM.Ensure investment and trading activities comply with regulatory and internal requirements.Make prudent professional decisions and provide rationale when escalating inquiries to the Senior Manager.Maintain knowledge of regulations (e.G., NI 31‑103, NI 81‑102, NI 81‑107) and industry best practices.Serve as the primary subject matter expert on applicable regulations for business partners, offering guidance and consultation.Create training content and train business partners on regulatory requirements.Support TD Wealth Compliance team members on projects and ad‑hoc requests.Collaborate with internal and external partners (e.G., Internal Audit, external consultants) to respond to regulatory requests, findings, audits, and examinations.Recommend enhancements to audit trail documentation and relevant procedures.Identify, manage, and resolve escalated non‑standard, high‑risk issues.EMPLOYEE / TEAMParticipate fully as a team member and support a positive work environment that promotes service, quality, innovation, and teamwork.Provide thought leadership and share industry knowledge within the team and business.Stay current on emerging trends and grow knowledge of tools and techniques.Engage in personal performance management, development activities, and cross‑training.Keep teammates informed about project status and progress.Mentor others and promote best‑practice knowledge transfer.Lead, motivate,



and develop relationships with internal and external partners.Contribute to a fair, positive, and equitable environment supporting a diverse workforce.BREADTH & DEPTHExpert level role requiring in‑depth compliance knowledge and a broad understanding of related areas.Recommend and implement solutions within own area of responsibility.Strong critical thinking, organizational, and problem‑solving skills.Understand regulatory requirements and apply them to business‑specific scenarios.Excellent interpersonal skills and ability to interact at all bank levels.Independently perform end‑to‑end work, execute complex requests.Perform complex analysis and reporting.Deliver on priorities under tight deadlines in evolving, sometimes ambiguous environments.Job RequirementsMinimum 7 years of relevant business, compliance, risk, or investment management experience (preferred).University degree in finance or relevant field; insurance industry accreditation (e.G., CIM) or CSI courses a plus but not required.Previous experience at an asset manager required; pre/post‑trade analysisexperience preferred.Exposure to Trade Order Management Systems (Bloomberg, Charles River, Sentinel, etc.).Familiarity with investment fund and portfolio manager operations and trading activities.Knowledge of regulations for portfolio managers, exempt market dealers, and investment fund managers (Canada) and institutional clients.Strong knowledge of financial instruments across asset classes.Influence skills and ability to work collaboratively and independently.Skill in analytical software tools, data analysis methods, and specialized reporting techniques.Detail‑oriented, highly organized, and able to work in a dynamic workplace.Strong writing skills, including board and committee reports and procedural documents.Manage tight deadlines and multiple competing priorities.Flexibility to adapt to changing priorities and maintain strong attention to detail.Articulate critical issues for escalation while maintaining ownership of deliverables.Handle conflicting viewpoints and develop creative solutions.Excellent verbal and written communication, public speaking, presentation, listening, and negotiation skills.#J-18808-Ljbffr

📌 Analyste Princ., Supervision Des Activités, Conformité - C$81,600 - C$115,200 A Year (Winnipeg)
🏢 TD Bank Group
📍 Winnipeg