Work Location

Work Location: Toronto, Ontario, Canada Hours: 37.5 Line of Business: Compliance Pay Details: $81,600 - $115,200 CAD TD 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 Overview

The 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 surveillance
- Providing training and education
- Liaising with regulators
- Promoting a compliance culture within the firm
- Taking preventative measures to ensure compliance with the rules and regulations
- Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations
- Licensing and registration requirements
- Reviewing new business opportunities, such as current products or markets from a compliance perspective

Position Summary





Senior Compliance Testing Analyst is a newly created role on the Core Compliance team to manage the implementation of Monitoring and Testing program, a key program supporting TD's Regulatory Compliance Management (RCM) Framework.

Responsibilities

- Contribute to the development, execution, and oversight of an effective Compliance Monitoring and Testing program.
- Work with the relevant businesses and functions to obtain information /documentation to carry out relevant compliance testing.
- Communicate extensively (orally and in writing) with the relevant businesses and functions regarding deficiencies and required remedial actions related to compliance testing.
- Analyze and summarize information/documentation responsive to compliance testing.
- Identify mitigating facts and circumstances (as applicable) to rebut issues identified during testing or other engagements.
- Prepare substantive written responses on the outcome of compliance testing and required remediation.
- Work closely with other regional Monitoring & Testing leads of TDS Compliance on any emerging risk issues or common theme where there is need for collaboration.
- Escalate any significant issues to Compliance management on a timely basis.
- Support the development of CAD policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of Canada.
- Assist in the ongoing development of core compliance processes.




- Assist with trade desk reviews in accordance with TDS Compliance mandate.
- Participate in enterprise-wide special projects.
- Cross train across the Advisory team to ensure team coverage

Proficiency requirements and skills

- University degree required.
- 3+ or more years securities compliance or related securities experience required.
- Strong knowledge of CIRO, MX, OSC and other related Laws, Rules and Regulations applicable to the Canadian securities marketplace.
- Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
- Robust interpersonal, organizational, and communication (oral and written) skills.
- Experience investigating and making sense of information through data analysis, understanding data patterns and trends, as well as resolving and troubleshooting data integrity.
- Project management skills and ability to manage multiple work streams involving different partners and groups.
- Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
- Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
- Proficient in MS Office

Other Qualifications/Skills/Experience

- Ability to manage and prioritize multiple projects, many with tight deadlines
- Ability to work independently and as part of a team yet understand when matters need to

📌 Senior Compliance Testing Analyst, Compliance Monitoring (Canada)
🏢 TD Bank Group
📍 Canada