Join TD Securities as a Compliance Governance and Operations Analyst II based in Toronto, Ontario. This pivotal role centers on regulatory compliance, personal trading oversight, and developing internal training programs.
As part of TD's Compliance Department, you will play a crucial role in ensuring regulatory adherence while identifying and preventing violations. The position requires evaluating new business opportunities, managing employee trading records, and fostering relationships with regulators. Your strong analytical and communication skills will be vital in educating staff about compliance responsibilities and maintaining a culture of integrity.
Key Responsibilities:
• Monitor personal trading in relation to compliance guidelines
• Implement and update employee trading lists
• File Insider Trading Reports timely and accurately
• Manage the TDS Chatbot for inquiries
• Collaborate with business units to ensure compliance
Requirements:
• Minimum of 3 y...