Senior Compliance Governance Analyst (4561)
Description
The TD Securities Inc. Compliance Department is responsible for developing and overseeing compliance strategies and programs to identify and prevent regulatory violations. This role involves designing and implementing a securities aggregation monitoring program, establishing governance structures, ensuring compliance with regulatory thresholds, overseeing daily position aggregation, identifying breaches, advising stakeholders on regulatory exposure, generating reports, leading investigations, and supporting regulatory examinations and audits.
What We're Looking For
Design and implement an end-to-end securities aggregation monitoring program, including methodologies, data requirements, escalation procedures, and reporting standards.,Establish governance structures, documentation, and policies to ensure consistent interpretation and application of regulatory thresholds.,Implement holdings-related restriction controls aligned to regulatory requirements (e.g., Bank Holding Company Act, sectoral foreign ownership rules).,Oversee the daily and periodic aggregation of securities positions across all relevant TD Securities entities and accounts.,Identify potential threshold breaches, execute timely escalation, and coordinate remediation activities.,Advise senior stakeholders on regulatory exposure, required filings, and remediation actions.,Produce periodic and ad hoc reporting for Management, Governance Committees, and Regulators.,Lead investigations into potential holding limit breaches and coordinate corrective action plans.,Assess root causes and drive sustainable process enhancements to prevent recurrence.,Support regulatory examinations and internal audits.,Identify control gaps and drive implementation of enhanced systems, data feeds, and aggregation logic.,Partner with Technology to enhance automation, accuracy, and integrity of aggregation data.
Ideal Candidate
5+ years of relevant experience in securities regulation, compliance, risk management, or related functions.,Deep knowledge of regulatory frameworks governing securities ownership, including the Bank Holding Company Act, foreign ownership restrictions, and sectoral limits.,Strong analytical capabilities and data governance experience in complex data environments.,Demonstrated ability to build new functions or programs, including policy development, governance frameworks, and control design.,Exceptional stakeholder management and communication skills, including senior executive engagement.,Experience with FundApps or similar regulatory aggregation and monitoring platforms.,University degree.,Minimum 5 years compliance experience within a financial institution or bank-owned dealer.
Minimum Education
University degree
Hard Skills
Soft Skills
Work Hours
37.5 hours/week
Benefits
Special Commitments
Job opportunity is subject to provincial regulation for employment purposes.
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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