Work Location: Toronto, Ontario, Canada Hours: 37.5 Line of Business: Compliance Pay Details: $96,900 - $136,800 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 new products or markets from a compliance perspective

Position Summary

Manager, Compliance Monitoring & Testing 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.

Proficiency requirements and skills

University degree required. 5+ 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 recent areas while supporting them.

Excellent interpersonal, organizational, leadership and communication (oral and written) skills.

Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.

Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.

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.

A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.

Proficient in MS Office.

Other Qualifications/Skills/Experience

Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing priorities.

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 be escalated to senior management.

Ability to deal with staff and management at all levels in TD Securities and TDBG.

Ability to think critically and make decisions.

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them

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