Senior Compliance Analyst (5971)

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Compliance

Pay Details:
$76,800 - $115,200 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 Global Compliance Department is responsible for overseeing Regulatory Compliance across TD Bank Group in accordance with the Global Compliance Operating Framework. Compliance is responsible for developing and maintaining the processes by which Businesses are made aware of the legislation and regulation, under which they are governed, as well as compliance trends, emerging risk areas and regulatory changes.

Wealth Compliance works pro-actively with the Canadian Wealth businesses and various other departments within TD that provide support to these businesses. We ensure regulatory compliance; protect the interests of the firm, its employees and clients while supporting the sales and productivity objectives of our business partners.

Job Description Summary

Provide objective guidance, support and advice in support of the execution of Compliance programs for the Canadian Wealth Businesses with a particular focus on marketing collateral, social media, outside business activities, mutual fund sales practices, campaigns and marketing initiatives.

Key Accountabilities

• Be a subject matter expert on assigned projects and initiatives with a focus on regulatory requirements, policies and procedures, effective controls, supervision and testing expectations
• Develop and maintain strong knowledge of the applicable regulatory and internal requirements, in particular NI 81-102 (Part 15), NI 81-105, NI 31-103, IIROC Rule 3600 and associated guidance
• Provide objective guidance, challenge and support on other regulatory compliance related matters raised by the business
• Maintain and update resource and training materials used by the Wealth businesses
• Support Wealth Compliance team members and Compliance management on a variety of projects, initiatives and other ad-hoc requests
• Maintain strong and collaborative relationships with other Compliance teams, corporate and control functions including Legal, ORM, etc.
• Assist with management reporting and the maintenance of the compliance issues database

Additional Information

• Flexibility to adapt to changing priorities combined with an attention to detail and strong organizational skills to thrive in a dynamic environment.
• Ability to articulate critical issues for escalation and decisions while maintaining ownership of deliverables.
• Understanding of Compliance Program and law and regulation as it applies to the financial services sector.
• Knowledge of relevant Canadian financial industry legislation.
• Excellent verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills.
• Ability to deal with conflicting points of view and to effect creative and responsive solutions.

Job Requirements

• Minimum 5 years of work experience in the financial industry in a related function (compliance, risk, audit, legal, etc.)
• Experience in retail wealth management or securities compliance is considered an asset
• University degree/diploma
• Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH)
• Strong influence skills, with the ability to work collaboratively as well as independently
• Detail-oriented, highly organized, and able to work in a dynamic environment
• Demonstrated strong writing skills, including drafting process documents
• Able to manage tight deadlines and multiple competing priorities
• Bilingualism an asset

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