Work LocationToronto, Ontario, CanadaHours37.5 hours per weekLine Of BusinessCompliancePay Details$69,700 – $98,400 CADTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate’s skills and experience, job‑related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation‑related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.Department OverviewThe TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients.Conducting monitoring and surveillanceProviding training and educationPromoting a compliance culture within the firmTaking preventative measures to ensure compliance with the rules and regulationsReviewing new business opportunities, such as new products or markets from a compliance perspectiveJob ResponsibilitiesResponsible for monitoring/surveillance, and where applicable, escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall‑crossingsMaintain up‑to‑date lists of employees in the StarCompliance System for appropriate coverageAssign and follow up attestationsComplete and file Insider Trading Reports for directors and senior officers of TDBGManage broker feeds and monitor paper statementsManage TDS ChatbotProvide day‑to‑day support to employees in relation to personal trading requirementsResponsible for coordinating with the business in keeping the static user groups (function groups) updatedAssist in the drafting of training materials and provide training to employees on personal trading requirements as may be requiredAssist in pulling various personal trading reportsAssist with projects as may be assignedConsistently exercise discretion in handling correspondence, information and all matters of confidentiality; raise issues where appropriateBuild subject‑matter knowledge in personal trading requirements and security products and may coach and educate othersFoster a cooperative working relationship with business unit partners and key regulators.Job Requirements – ProficiencyStrong knowledge of Securities Rules related to insider trading and material non‑public informationAbility to multi‑task, work independently, think critically and make decisionsExcellent communication skills, both written and oralAbility to deal with staff and management at all levels in TD Securities and TDBGAbility to work under pressure and meet deadlinesStrong personal integrity in dealing with confidential and sensitive informationOther Qualifications / Skills / ExperienceAbility to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing prioritiesFamiliarity with ISM or ability to learn recent systemsAbility to manage and prioritize multiple projects, many with tight deadlinesAbility to work independently and as part of a team yet understand when matters need to be escalated to senior managementCompletion of Canadian Securities Course (CSC), Traders Training Course (TTC), and Conduct and Practices Handbook (CPH) desirable but not requiredCompletion of other industry courses desirable but not requiredEducation and AccreditationUniversity DegreeMinimum 3 years compliance experience within a financial institution or bank‑owned dealerLanguage Requirement (Quebec Only)Sans Objet#J-18808-Ljbffr

📌 Compliance Governance & Operations Analyst Ii - C$69,700 - C$98,400 A Year (Winnipeg)
🏢 TD
📍 Winnipeg