Job Description
Location
Toronto, ON
Benefits
Pulled from the full job description
Paid time off
Full job description
Work Location:
Toronto, Ontario, Canada
Hours:
37.5
Line of Business:
Compliance
Pay Details:
$65,600 - $98,400 CAD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
Department Overview
The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients. This is accomplished by:
Conducting monitoring and surveillance
Providing training and education
Liaising with regulators
Promoting a compliance culture within the firm
Taking preventative measures to ensure compliance with the rules and regulations
Reviewing new business opportunities, such as new products or markets from a compliance perspective
Job Description
Responsible for monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall-crossings
Maintain up-to-date lists of employees in the StarCompliance System for appropriate coverage
Assign and follow up attestations
Complete and file Insider Trading Reports for directors and senior officers of TDBG
Manage broker feeds and monitor paper statements
Manage TDS Chatbot
Provide day-to-day support to employees in relation to personal trading requirements
Responsible for coordinating with the business in keeping the static user groups (function groups) updated
Assist in the drafting of training materials and provide training to employees on personal trading requirements as may be required
Assist in pulling various personal trading reports
Assist with projects as maybe assigned
Consistently exercise discretion in handling correspondence, information and all matters of confidentiality; raise issues where appropriate
Build subject matter knowledge in personal trading requirements and security products and may coach and educate others
Foster a cooperative working relationship with business unit partners and key regulators.
Job Requirements
Proficiency requirements and skills:
Strong knowledge of Securities Rules related to insider trading and material non-public information
Ability to multi-task, 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
Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities
Familiarity with ISM or ability to learn new systems
Ability to manage and prioritize multiple projects, many with tight deadlines
Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
Completion of Canadian Securities Course (CSC), Traders Training Course (TTC), and Conduct and Practices Handbook (CPH) desirable but not required
Completion of other industry courses desirable but not required
Education and Accreditation
University degree
Minimum 3 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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
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. Learn more
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.
Please 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.
Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.
We look forward to hearing from you!
Language Requirement (Quebec only):
Sans Objet
Toronto, ON
Benefits
Pulled from the full job description
Paid time off
Full job description
Work Location:
Toronto, Ontario, Canada
Hours:
37.5
Line of Business:
Compliance
Pay Details:
$65,600 - $98,400 CAD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
Department Overview
The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients. This is accomplished by:
Conducting monitoring and surveillance
Providing training and education
Liaising with regulators
Promoting a compliance culture within the firm
Taking preventative measures to ensure compliance with the rules and regulations
Reviewing new business opportunities, such as new products or markets from a compliance perspective
Job Description
Responsible for monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey and Restricted List, Restricted Securities and Wall-crossings
Maintain up-to-date lists of employees in the StarCompliance System for appropriate coverage
Assign and follow up attestations
Complete and file Insider Trading Reports for directors and senior officers of TDBG
Manage broker feeds and monitor paper statements
Manage TDS Chatbot
Provide day-to-day support to employees in relation to personal trading requirements
Responsible for coordinating with the business in keeping the static user groups (function groups) updated
Assist in the drafting of training materials and provide training to employees on personal trading requirements as may be required
Assist in pulling various personal trading reports
Assist with projects as maybe assigned
Consistently exercise discretion in handling correspondence, information and all matters of confidentiality; raise issues where appropriate
Build subject matter knowledge in personal trading requirements and security products and may coach and educate others
Foster a cooperative working relationship with business unit partners and key regulators.
Job Requirements
Proficiency requirements and skills:
Strong knowledge of Securities Rules related to insider trading and material non-public information
Ability to multi-task, 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
Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities
Familiarity with ISM or ability to learn new systems
Ability to manage and prioritize multiple projects, many with tight deadlines
Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
Completion of Canadian Securities Course (CSC), Traders Training Course (TTC), and Conduct and Practices Handbook (CPH) desirable but not required
Completion of other industry courses desirable but not required
Education and Accreditation
University degree
Minimum 3 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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
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. Learn more
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.
Please 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.
Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.
We look forward to hearing from you!
Language Requirement (Quebec only):
Sans Objet
💡 Quick Summary
Seeking a career-building opportunity? The Compliance Governance & Operations Analyst II, Personal Trading (3338) position is now open for candidates interested in the Operations Executive Jobs sector. This role in Toronto offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Operations Executive Jobs is a plus.