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 solid 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
Solid 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