Description
Design and implement an end-to-end securities aggregation monitoring program, including methodologies, data requirements, escalation procedures, and reporting standards.
Establish governance structures, documentation, and policies to ensure consistent interpretation and application of regulatory thresholds.
Implement holdings-related restriction controls aligned to regulatory requirements (e.g., Bank Holding Company Act, sectoral foreign ownership rules).
Oversee the daily and periodic aggregation of securities positions across all relevant TD Securities entities and accounts.
Identify potential threshold breaches, execute timely escalation, and coordinate remediation activities.
Advise senior stakeholders on regulatory exposure, required filings, and remediation actions.
Produce periodic and ad hoc reporting for Management, Governance Committees, and Regulators.
Lead investigations into potential holding limit breaches and coordinate corrective action plans.
Assess root causes and drive sustainable process enhancements to prevent recurrence.
Support regulatory examinations and internal audits.
Identify control gaps and drive implementation of enhanced systems, data feeds, and aggregation logic.
Partner with Technology to enhance automation, accuracy, and integrity of aggregation data.
Job Requirements
Strong knowledge of Securities Rules related to insider trading and material non-public information
Ability to work independently, think critically and make decisions
Excellent communication skills, both written and oral
Ability to deal with staff and management at all levels in TD Securities and TDBG
Ability to work under pressure and meet deadlines
Strong personal integrity in dealing with confidential and sensitive information
Other Qualifications/Skills/Experience
5+ years of relevant experience in securities regulation, compliance, risk management, or related functions.
Deep knowledge of regulatory frameworks governing securities ownership, including the Bank Holding Company Act, foreign ownership restrictions, and sectoral limits.
Strong analytical capabilities and data governance experience in complex data environments.
Demonstrated ability to build new functions or programs, including policy development, governance frameworks, and control design.
Exceptional stakeholder management and communication skills, including senior executive engagement.
Experience with Fund Apps or similar regulatory aggregation and monitoring platforms.
Education and Accreditation
University degree
Minimum 5 years compliance experience within a financial institution or bank-owned dealer
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 and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.
Additional Information:
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 at home.
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