Compliance Governance & Operations Manager
Description
This role at The Toronto-Dominion Bank focuses on managing compliance governance and operations, specifically within equities trade surveillance. The manager will be responsible for identifying and mitigating risks, ensuring adherence to regulatory guidelines, and driving continuous process improvements within the compliance function. Key aspects include analyzing trade alerts for potential violations, staying updated on regulatory changes, and collaborating with various internal and external stakeholders to maintain a robust compliance framework. The position also involves coaching new team members and actively contributing to surveillance system enhancements.
What We're Looking For
Manage confidential information and escalate issues appropriately.
Stay informed about emerging trends and regulatory requirements in compliance.
Identify and manage risks, ensuring adherence to internal policies and regulatory guidelines.
Conduct reporting and analysis to assess program effectiveness and recommend improvements.
Monitor service and productivity, implementing continuous process improvements.
Provide guidance and direction within the compliance discipline.
Build and maintain relationships with front office teams, support functions, and Compliance Advisory.
Coordinate requests and track initiatives with business partners.
Prepare communications, reports, and presentations for management, regulators, and stakeholders.
Proactively identify and resolve matters requiring review or escalation.
Participate in team activities, fostering a positive and inclusive work environment.
Network with Global Surveillance and wider Compliance teams.
Provide coverage for surveillance modules and present case escalations.
Gain understanding of new trade surveillance modules and tools.
Ensure adherence to T+1 timeline for trade surveillance.
Analyze alerts and data for potential violations of laws, rules, and firm policies.
Identify and escalate matters to Surveillance Management and Advisory Compliance.
Develop a thorough understanding of market manipulation surveillance patterns.
Continuously look for efficiencies and enhancements in surveillance work.
Update case management tools and follow up on pending items.
Coach and educate new joiners on compliance training.
Execute complex requests and escalations.
Engage in calibration discussions and propose improvements for reviews.
Support audit activities by providing documentation and subject matter expertise.
Participate in critical trade surveillance projects and department meetings.
Work closely with Advisory Compliance, Trading desks, and Technology.
Support enhancement of the surveillance system through calibration processes.
Assist regional Compliance teams with regulatory risk remediation.
Analyze data sources to meet review requirements.
Understand the end-to-end trade flow, including booking systems and alert generation.
Ideal Candidate
Undergraduate degree required.
Relevant professional designations such as FINRA Certified Compliance Officer Program.
Basic knowledge of Equities is required.
Minimum Education
Undergraduate Degree
Hard Skills
Soft Skills
Work Hours
35 hours/week
Benefits
About the Company
The Toronto-Dominion Bank
The Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group, one of the largest banks in North America. TD provides a wide range of personal, commercial, and investment banking products and services to over 27 million customers globally. Headquartered in Toronto, Canada, the bank operates through key segments including Canadian Retail, U.S. Retail, and Wholesale Banking.
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