Compliance Governance & Operations Manager

Compliance Governance & Operations Manager

Requirements

• 5+ years of relevant compliance and/or Employee Trading/Control Room experience.
• Familiarity with IIROC rules and applicable securities commission rules.
• Knowledge of market structures and operations and the associated regulatory issues.
• Extensive knowledge of investment banking activities and in-depth product knowledge a plus.
• Strong people management experience.
• Ability to think critically and make decisions, knowing when to escalate.
• Ability to take ownership on daily tasks and special projects and see them through to completion.
• Excellent communication skills, both written and oral.
• Ability to deal with staff and management at all levels in TD Securities and TDBG.
• Ability to work under pressure and meet deadlines.
• Strong personal integrity in dealing with confidential and sensitive information.

Responsibilities

• Primary compliance coverage and real time support and advice to business areas covered by the TDS Employee Trading Policy.
• Support Senior Manager for personal trade monitoring and surveillance particularly with respect to the Grey and Restricted Lists and policy requirements such as pre-trade approval and hold periods.
• Act as a go to resource for a team of 5-7 personnel responsible for executing the day-to-day requirements of the program.
• Responsible for escalation and reporting compliance related issues to Senior Manager, as appropriate.
• Provide day-to-day advisory support to supervisors, front office employees and support groups on regulatory rules.
• Communicate with front office employees and supervisors to assess risk and remediate issues.
• Assist in the drafting, design and maintenance of the team’s procedures.
• Assist in regulatory reviews, including inquiries, audits, and exams.
• Design and deliver applicable training for business unit personnel.
• Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new or amended regulations.
• Interact with IT support and Risk Management to ensure technology and business practices remain compliant with Firm policies and industry regulation.
• Supporting the business in their development of policies, procedures, and training programs to facilitate compliance with regulatory requirements.
• Support special projects as assigned.
• Accountable for the reporting and escalation of material breaches of firm policies and regulatory requirements.

Preferred Qualifications

• Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Trader Training Course (TTC) desirable but not required.
• Control Room and Personal Trading experience preferred.