Lead compliance monitoring and testing at TD Securities in Toronto, applying regulatory knowledge and analytical judgment within the Core Compliance team. As Manager, Compliance Monitoring & Testing, you will implement a key program supporting TD’s Regulatory Compliance Management Framework. The position requires securities compliance experience, knowledge of Canadian marketplace regulations, and strong stakeholder partnership. You will support operations, finance, regulatory reporting, sales and trading, and related compliance areas.

Key Responsibilities
- Manage implementation of the Monitoring and Testing program
- Conduct compliance monitoring and surveillance activities
- Support policies and procedures for regulatory compliance




- Advise senior and line managers on regulatory interactions
- Manage multiple projects and work streams

Requirements:
- University degree required
- Five or more years of securities compliance experience
- Knowledge of CIRO, MX, OSC, laws and regulations
- Robust analytical, organizational and communication skills
- Proficiency in Microsoft Office Bring securities compliance expertise, regulatory judgment and program management skills to TD Securities’ monitoring and testing function.

📌 Compliance Monitoring Testing Manager (Toronto)
🏢 The Toronto-Dominion Bank (Canada)
📍 Toronto