Lead compliance monitoring and testing for TD Securities in Toronto, applying securities regulation expertise and strong analytical judgment.
This Manager role supports TD's Regulatory Compliance Management Framework on the Core Compliance team. You will develop monitoring programs, assess regulatory issues, communicate deficiencies, and advise management. The work requires knowledge of Canadian securities rules, project management, and effective stakeholder communication.
Key Responsibilities: Lead compliance monitoring and testing program development and execution
Obtain documentation from relevant businesses and functions
Analyze testing information and identify mitigating circumstances
Prepare written testing outcomes and remediation responses
Escalate significant issues and provide management updates
Requirements: University degree required
Five or more years securities compliance experience required
Knowledge of CIRO, MX, OSC, and Canadian securities regulations
Robust analytical, organizational, leadership, and communication skills
Proficiency in Microsoft Office
Apply compliance testing, regulatory analysis, and stakeholder advisory skills as TD Securities strengthens oversight in Toronto.