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 fast-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
- Robust 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.

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