Senior Compliance Governance & Operations Analyst

Work Location: Calgary, Alberta, Canada

Hours: 37.5

Line Of Business: Compliance

Pay Details: $81,600 - $115,200 CAD

Job Description: This role is responsible for providing specialized, objective supervisory oversight, guidance, support, and advice to the Branch Manager, ABM, and the Advisors and PMs within the market. The role requires supervisory licensing under CIRO and demonstrated experience in a securities regulated business. This mandate is critical to supporting a risk and control framework and to monitor key suitability, know your client, and portfolio management accountabilities.

• Perform supervisory activities on behalf of the branch manager – e.g., account opening reviews, concentration and margining exception reviews, checklists tests, sample trade and ACR reviews, etc.
• Assist in the implementation and monitoring of appropriate Compliance, Risk and regulatory policies, processes, and controls.
• Support new Advisor / PM / CSA onboarding and training.
• Support client complaint resolution.
• Support annual LMS, Diamond, and other attestation requirements in the branch.
• Facilitate the periodic Compliance risk and self‑assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework.
• Monitor daily, weekly, and monthly risk reports, and conduct in‑branch assessments where registrants are deemed to require enhanced coaching and monitoring.
• Interact with control partners within the organization.
• Develop analysis and insights, prepare, and deliver management reporting to support the Branch Manager in setting tone and in addressing any areas of concern. Integrate enterprise expectations on risk and control into appropriate messaging.
• Work with BM/ABM to ensure necessary due diligence (i.e., accuracy of information) to support the accuracy of all client activities, i.e., Know Your Client, etc.
• Subject matter expert in interpreting guidelines, standards, policies and procedures to guide ensure employees understand and apply bank operating policies and procedures.
• Protect the interests of the organization – identify and manage risks, and elevate non‑standard, high‑risk transactions / activities as necessary.
• Work with advisors in the branch and/or control partners to ensure alignment with enterprise and/or regulatory requirements.
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
• Provide insight, guidance, and recommendation on Compliance subject matter, regulatory and industry issues and act as a specialized resource.
• Work with BM/ABMs and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits, testing engagements and/or examinations.
• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
• Keep current on emerging trends/developments and grow knowledge of the business, related tools, and techniques.
• Require advanced understanding of a range of product and services, processes, procedures, systems, and concepts within wealth advice.

• Undergraduate university degree with 5+ years relevant experience
• Registered as a Supervisor with Options (or ability to be registered within 6 months of hire)
• Registered with CIRO as a Registered Representative is an asset.
• Investment Management course, CIM or CFA is an asset.
• CFP or PFP designation (CFP preferred) is an asset.

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and ase be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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