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
- Solid 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.

📌 Compliance Monitoring Testing Manager (Toronto)
🏢 TD
📍 Toronto