Senior Compliance Governance & Operations Analyst

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Hours:

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Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

TD Securities

With more than 3,500 people in 13 offices around the world, TD Securities provides a wide range of capital market products and services to corporate, government and institutional clients who choose us for our knowledge, innovation and experience in the following key areas of finance:

• Investment and Corporate Banking
• Capital Markets
• Interest Rate, Currency and Derivative Products
• Commodities

Our services include the underwriting and distribution of new debt and equity issues, providing advice on strategic acquisitions and divestitures, and executing daily trading and investment needs.  With our history of delivering results, we’ve developed considerable strengths, including recognized trading expertise and street-level market intelligence that we use to consistently create value for our clients.

The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors’ Audit and Risk Committees. It is the Compliance Department’s responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated.  Compliance Department responsibilities generally are to advise, monitor, and escalate.

The Compliance Officer is an integral part of the TDGF Compliance department.  This individual will conduct horizon scanning for applicable conduct-focused regulatory change across EU, Irish and UK regulations.

In addition, the individual will assist with other regulatory change compliance activities as required.   

Responsibilities include, but are not limited to:

• Conduct horizon scanning of EU, Irish and UK sources for applicable regulatory change.
• Maintenance of regulatory change records and associated logs and registers.
• Represent the Regulatory Change function both internally and at industry working groups, as required.
• Preparation and delivery of various communications to internal stakeholders on regulatory change.
• Conduct analysis of new/amended regulatory change
• Assist in the maintenance of TDGF's full inventory of regulations.
• Assist in the oversight of non-Compliance oversight functions' adherence to TD's regulatory compliance management (RCM) framework.
• Build strong relationships with key stakeholders internally and globally.
• Lead completion of other regulatory change administrative tasks.
• Assist on ad-hoc Compliance projects related to regulatory change.

• LCI Compliance qualification.
• 5+ years Compliance, Risk or Regulatory experience in a wholesale focused regulated financial services firm.
• Legal or policy related degree/background (desirable).

• Understanding and interest in the EU policy making process and regulatory rules. Similar for the UK desirable.
• Strong oral and written communication skills, with ability to communicate at all levels in the organisation.
• Excellent attention to detail.
• Ability to work collaboratively to build and maintain professional relationships with internal and external parties.
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Proficient with MS Office and CoPilot.

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve, and creating an environment where every employee has the opportunity to reach her/his potential.

TD is committed to providing accommodations. If you require an accommodation, we will work with you to meet your needs.

Who We Are

TD Securities 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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, 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.
 
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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.