Analyste princ., Gouvernance et Exploitation, Conformité

Lieu De Travail

Toronto, Ontario, Canada

37.5

Conformité

$81,600 - $115,200 CAD

La TD a à cœur d’offrir une rémunération juste et équitable à tous les collègues. Les occasions de croissance et le perfectionnement des compétences sont des caractéristiques essentielles de l’expérience collègue à la TD. Nos politiques et pratiques en matière de rémunération ont été conçues pour permettre aux collègues de progresser dans l’échelle salariale au fil du temps, à mesure qu’ils s’améliorent dans leurs fonctions.

Le salaire de base offert peut varier en fonction des compétences et de l’expérience du candidat, de ses connaissances professionnelles, de son emplacement géographique et d’autres besoins particuliers du secteur et de l’entreprise.

En tant que candidat, nous vous encourageons à poser des questions sur la rémunération et à avoir une conversation franche avec votre recruteur, qui pourra vous fournir des détails plus précis sur ce poste.

Description du poste :

• Conducting monitoring and surveillance
• Providing training and education
• Promoting a compliance culture within the firm
• Taking preventative measures to ensure compliance with the rules and regulations

The Senior Compliance Governance & Operations Analyst will support TDSI's Global Personal Account Dealing program, and will report to the Senior Manager, Global Control Room.

• Remediation duties including but not limited to audit, backlogs, and quality assurance.
• Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the program.
• Provide compliance advisory to business areas covered by the TDS Personal Account Trading Policy (i.e. Corporate & Investment Banking, Global Markets and Research).
• Support the Senior Manager to ensure effectiveness of the program by administering the governance framework, including Quality Assurance Reviews, risk assessments, and enhancing control procedures as needed.
• Provide SME support to the team's daily operations and support the daily BAU operations as required.
• Collaborate with global business partners (i.e. Technology, HR, other Compliance teams) on matters that may require joint efforts.
• Assist in periodic regulatory exams and audits.
• Periodically design and provide training for business units under coverage of the program.
• Monitor regulatory developments and trends, and assist on impact assessment as needed.
• Support review of program coverage and ad hoc projects.

Proficiency requirements and skills:

• Knowledge of applicable securities industry regulations.
• Strong personal integrity in dealing with confidential and sensitive information.
• Ability to take ownership and manage ad-hoc projects from beginning to end, supported by clear documentation.
• Ability to think critically, document clear analysis, make decisions on reasonable basis and, know when to escape to GCR Management.
• Excellent verbal and written communications skills.
• Ability to deal with staff and management at all levels.

• Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities.
• Ability to think critically, perform data analysis, and make supported decisions.
• Ability to manage and prioritize multiple projects, with tight deadline.
• Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management.

• University degree.
• Minimum of 5 years of compliance experience in the securities industry, preferably in Employee Trading / Control Room compliance or capital markets business supervision.
• Successful completion of the Canadian Securities Course and Conduct and Practices Handbook preferred.

La TD est un chef de file mondial dans le secteur des institutions financières. Elle est la cinquième banque en importance en Amérique du Nord de par son nombre de succursales. Chaque jour, nous nous efforçons de rendre chaque interaction, chaque produit et chaque expérience…