Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:$96,900 - $136,800 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.Job Description:Department OverviewThe 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 surveillanceProviding training and educationLiaising with regulatorsPromoting a compliance culture within the firmTaking preventative measures to ensure compliance with the rules and regulationsImplementing Policies and Procedures designed to achieve compliance with applicable laws and regulationsLicensing and registration requirementsReviewing new business opportunities, such as new products or markets from a compliance perspectiveJob DescriptionManager, Exchange Traded Products Compliance Advisory position is responsible for providing advice and guidance on regulatory requirements and firm policies applicable to the Exchange Traded Products business lines and working closely with the business and internal stakeholders in the development, communication, implementation and ongoing maintenance of policies and procedures to promote compliance with such requirements. The Manager must be highly responsive in a business environment where decisions must be made in stressful,



time sensitive situations and where information is often ambiguous and incomplete. The role is also expected to keep abreast of developments in an ever-changing regulatory workplace and their impact on the business. This position will report to the Senior Manager, Compliance Business Oversight.Primary Responsibilities:Provide strategic oversight and lead key initiatives, including end-to-end project delivery, remediation of control gaps, and implementation of sustainable process improvements.Provide compliance advisory coverage across Equity, Global Equity Derivatives and Prime Brokerage businesses by interpreting regulatory requirements, advising on business initiatives and trading activities, assessing compliance risks, recommending appropriate controls, and escalating material issues.Perform compliance monitoring and reviews for listed derivatives sales and trading.Assist with compliance monitoring program for Capital Markets activity including updating the program based on regulatory changes and the results of internal or external examinations.Deliver periodic training to Capital Markets staff members on regulatory matters and firm policies and procedures.Perform LOPR Options and Futures reviews which would include data validation and testing.Prepare and present compliance report to the equities and listed derivatives best execution committee meetings.Assist in updating the Compliance Procedures Manual.Assist with regulatory exams or internal audits for exchange traded products desks.Assist with regulatory inquiries and investigations for exchange traded products desks.Escalate any significant issues to Compliance management on a timely basisPromoting a compliance culture within the firmTaking preventative measures to ensure compliance with the rules and regulationsJob RequirementsProficiency requirements and skills:A strong familiarity with equities and listed derivatives products and trading requirementsStrong working knowledge of the Universal Market Integrity Rules (UMIR), TSX Rules, Montréal Exchange Rules, CIRO Investment Dealer and Partially Consolidated Rules (IDPC), and applicable Canadian securities legislation, including relevant National Instruments governing equity, derivatives, and marketplace trading activities. e.G. UMIR Rulebook, TSX & Montreal Exchange Rules, NI-23-101, NI 23-103.Proficiency in Power BI and data analytics, with demonstrated experience leveraging automation to enhance compliance processes, streamline reviews and reporting, and identify data trends and exceptions.Demonstrated project management experience, with the ability to identify and remediate control gaps, develop and implement effective control enhancements, and drive initiatives through to completion.Experience investigating and making sense of information through data analysis, understanding data patterns and trends, as well as resolving and troubleshooting data integrity.Comfortable in a trade desk environment and communicating with various Lines of Businesses including front office staff membersStrong communication skills, both written and oralStrong personal integrity in dealing with confidential and sensitive information.Self-motivated, confident, and capable of working both independently and in a team environmentOther Qualifications/Skills/Experience:Ability 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 managementAbility to deal with staff and management at all levels in TD Securities and TDBGAbility to think critically and make decisionsWho We Are:TD is one of the world's leading global financial institutions and is the fifth largest

📌 Manager, Exchange Traded Products Compliance Advisory (Toronto)
🏢 TD
📍 Toronto