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Senior Compliance Officer
| Company | TD Bank |
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| Location | Toronto, ON, Canada |
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| Salary | $76800 – $115200 |
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| Type | Full-Time |
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| Degrees | Bachelor’s |
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| Experience Level | Senior |
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Requirements
- University degree, with a major/specialty in investment industry accreditation (e.g., CIM) and/or CFA Institute’s Chartered Financial Analyst (CFA) is an asset
- Minimum 7 years of relevant business, Compliance, Risk or investment management experience preferred
- Knowledge of regulations for portfolio manager, exempt market dealer and investment fund manager (Canada) and institutional clients and alternative investments
- Experience working with automated compliance systems (Bloomberg, Charles River) to design pre-trade and post-trade controls to detect and prevent breaches of regulatory and client-specific guidelines
- Solid knowledge of trade desk and portfolio management operations
- Strong knowledge of financial instruments and related products across asset classes (equities, fixed income, derivatives, etc.)
- 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
Responsibilities
- Assist in the oversight of the investment compliance program elements and processes for TD Asset Management
- Responsible for oversight of portfolio monitoring in the Bloomberg system.
- Ensure investment and trading activities are conducted in accordance with the regulatory and internal requirements.
- Assist in implementation and testing of compliance and portfolio management systems.
- Create new processes utilizing technology to improve efficiencies.
- Identify and facilitate the resolution and documentation of any trading errors.
- 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
- Understand the trade flow from start to finish, including booking system, data and files being used for alert generation and be able to identify control improvements.
- Provide objective guidance, challenge and support on other regulatory compliance related matters raised by the business
- Support Wealth Compliance team members and management on a variety of projects, initiatives and other ad-hoc requests as assigned by AVP, Compliance.
- 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
Preferred Qualifications
- 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.
