Senior Compliance Governance & Operations Analyst
Description
This role at The Toronto-Dominion Bank in Dublin involves managing compliance, information, and confidentiality, along with conducting reporting and analysis. The analyst will monitor efficiency, apply expertise, identify and manage risks, and ensure adherence to internal policies and regulatory guidelines. Key aspects include engaging with stakeholders, collaborating within the team, and ensuring timely trade surveillance, particularly for Equities, to identify and address potential violations and enhance surveillance patterns. The position also focuses on fostering risk management and control within the organization.
What We're Looking For
Key responsibilities include consistently exercising discretion in managing confidential information, identifying and managing risks, conducting reporting and analysis at the functional or enterprise level, monitoring service and productivity, and implementing continuous process improvements. The role also requires acquiring and applying expertise in the discipline, adhering to internal policies and regulatory guidelines, and staying updated on emerging issues and trends. Building relationships with Compliance Advisory and other stakeholders, preparing communications for management and regulators, and participating in team activities like cross-training and presenting cases are also crucial. Furthermore, the role involves adhering to T+1 timeline for trade surveillance, analyzing alerts for potential violations, understanding market manipulation patterns, updating case management tools, coaching new joiners, and supporting audit activities and surveillance projects.
Ideal Candidate
An undergraduate degree is required. Relevant professional designations such as FINRA Certified Compliance Officer Program are preferred. Basic knowledge of Equities is also required.
Minimum Education
Undergraduate Degree
Hard Skills
Soft Skills
Work Hours
35 hours/week
Benefits
Special Commitments
Commitment to a diverse, equitable, and inclusive culture.
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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