Lead compliance monitoring and testing for TD Securities Inc. from Toronto, managing regulatory reviews, remediation, and oversight programs.

As Manager, Compliance Monitoring & Testing, you will manage a key program supporting TD’s Regulatory Compliance Management Framework. Lead testing across businesses and functions while applying knowledge of Canadian securities regulations. The work includes analysis, written communication, training, and strategic advice for management.

Key Responsibilities:
Develop, execute, and oversee compliance monitoring and testing
Obtain documentation and information from businesses and functions
Analyze testing evidence and identify mitigating facts




Prepare responses covering testing outcomes and remediation
Escalate significant issues and advise management strategically

Requirements:
University degree required
Five or more years securities compliance experience
Knowledge of CIRO, MX, OSC, and Canadian securities regulations
Solid analytical, communication, organizational, and leadership skills
Proficiency in Microsoft Office

Bring Canadian securities compliance expertise, analytical judgment, and testing leadership to TD Securities Inc. in Toronto.
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📌 Compliance Monitoring Testing Manager Toronto
🏢 TD Bank Group
📍 Toronto