Senior Compliance Governance & Operations Analyst (4210)

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Compliance

Pay Details:
$76,800 - $115,200 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Job Description Summary

The Senior Compliance Governance & Operations Analyst will provide a range of research, analytical and/or operational process support within a defined area of the function. They will also support implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs and may interact with key stakeholders and third-party service providers to deliver Compliance programs that satisfy regulatory requirements.

Job Description

KEY ACCOUNTABILITIES

CUSTOMER

• Provide Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner
• Working knowledge of trade surveillance with strong grip on key market abusive behaviors.
• Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs
• Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
• Responding to inquiries from CIRO or any other regulator
• Recommend responses to enterprise Compliance Program questions and immediately escalate any sensitive issues according to departmental procedures
• Analyze data and draw conclusions to meet program health reporting requirements
• Analyze emerging trends pertaining to regulatory changes, reporting or other departmental functions and provide recommendations to enhance or rectify Compliance - related gaps, issues and enhancements
• Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate

• Contribute to various activities and processes as assigned
• Adhere to enterprise frameworks or methodologies that relate to activities for own business area
• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
• Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
• Protect the interests of the organization - identify and manage risks, and escalate non-standard, high risk activities as necessary
• Conduct internal and external research projects; support the development / delivery of presentations / communications to management or broader audience
• Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
• Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists
• Acquire and apply expertise in the discipline, provide guidance, assistance and direction to others
• Identify, recommend and effectively execute standard practices applicable to the discipline
• Adhere to internal policies/procedures and applicable regulatory guidelines
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• May lead work streams by acting as a project lead / subject matter expert for small scale projects / initiatives in accordance with project management methodologies

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• Participate in personal performance management and development activities, including cross training within own team
• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

• Work independently as a senior analyst / subject matter expert and may coach and educate others
• Oversee and/or independently perform tasks from end to end
• Basic knowledge of Fixed Income, Currencies and Commodities is required
• Knowledge of trading of products on major exchanges like CME, LME, ICE and Nymex
• Knowledge of the Canadian markets and regulations, particularly in relation to Fixed Income, Currencies and Commodities
• Apply expert knowledge of business operations, products, services, methods and operating standards to drive unit or team performance
• Execute on more complex and/or non-standard requests
• Research and investigates a range of operational / reporting / process issues
• Recommend and implement solutions within own area of responsibility
• May need to coordinate / integrate work with other areas as needed
• Provide advanced analysis and/or specialized reporting to support business partners, functional areas or centres of expertise
• Require advanced technical / business / function knowledge for discipline supported
• High level of complexity in operational / reporting / process and/or analysis function requiring medium to longer term focus
• Represent the group as the lead or subject matter expert on projects / initiatives and/or at meetings across the organization
• Generally reports to a Manager or Senior Manager role

• Undergraduate degree
• Relevant professional designations and/or certifications as requested
• 5+ years relevant experience