Senior Compliance Governance & Operations Analyst

Work Location:

Hours:

Line of Business:

Pay Details:

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:

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.

Job Description:

• 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 escalate 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 acts 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.

EXPERIENCE & EDUCATION:

• 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.

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):