Lead compliance initiatives at TD Securities in Toronto, Ontario as a Compliance Manager for Exchange Traded Products. Provide regulatory advisory support across multiple business lines to ensure compliance.
As a Compliance Manager, you will oversee compliance activities related to Exchange Traded Products. This includes working closely with business teams to implement effective policies and address regulatory requirements. The role demands a robust understanding of compliance in a rapid-paced environment where quick, informed decisions are essential.
Key Responsibilities:
• Advise on regulatory requirements for Exchange Traded Products
• Conduct compliance reviews for sales and trading activity
• Perform compliance monitoring for Capital Markets programs
• Deliver training to staff on compliance and regulatory issues
• Prepare compliance reports for review meetings
Requirements:
• Experience with equities and derivatives trading regulations
• Strong knowledge of Canadian securities legislation
• Proficiency in data analytics and Power BI
• Skilled in project management and process improvement
• Ability to communicate effectively across teams
Utilize your compliance expertise to drive initiatives and uphold regulatory standards at TD Securities.
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