Senior Compliance Officer, Control Room, Compliance

Maintain the Grey List and Restricted List and advise on information barrier issues.,Provide compliance coverage for the Control Room and all private side business within TD Securities including Investment Banking, Global Credit, and Debt Capital Markets.,Assist with collaborating globally with Investment Banking, Global Credit, and Equity Capital Markets personnel in evaluating transactions for inclusion on Grey or Restricted Lists.,Provide compliance and real-time support and advice to business areas within Investment Banking, Global Credit, and Debt Capital Markets, including real-time deal flow.,Review and resolve escalation of research-related issues as they relate to Investment Banking transactions and potential restrictions.,Monitor communications, including electronic and video communications, within Investment Banking and other dealer groups in line with regulatory requirements.,Chaperone certain business activities between Equity Research and Investment Banking to ensure independent conduct.,Assist in the development of the compliance testing program with operational procedures.,Maintain and enhance policies and procedures within the group.,Provide guidance, advice, and rule interpretation to business lines and leaders.,Provide guidance and education on regulatory and internal policy to TD Securities management and staff.,Identify compliance-related issues and escalate them to business unit management, monitoring for resolution.,Identify compliance requirements as per legislation, policies, self-regulatory by-laws, and rulings related to securities distribution, maintaining testing documentation.,Respond to inquiries from regulators.,Implement and enhance policies and procedures.,Foster a cooperative working relationship with business unit partners and key regulators.,Participate in industry forums and committees.,Understand, analyze, interpret, and apply regulation in an operational context.,Manage and prioritize multiple projects with tight deadlines.,Work independently and as part of a team, escalating matters when necessary.

Minimum 5 years compliance/industry experience in a senior position within a bank owned dealer.,5-7 Years of related experience.,Ability to understand, analyze, interpret and apply regulation in an ever-changing environment with competing priorities.,Ability to manage and prioritize multiple projects, many with tight deadlines.,Ability to work independently and as part of a team, yet understand when matters need to be escalated to senior management.

University degree or Bachelor's Degree or progressive work experience