Manager / Senior Manager, Advisory Compliance (Equities)

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Department Overview

The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors’ Audit and Risk Committees. It is the Compliance Department’s responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated.  Compliance Department responsibilities generally are to advise, monitor, and escalate.

The Senior Manager Advisory Compliance will have responsibility for Compliance activities relating to the equities businesses and is therefore expected to be a product specialist.

• Expert knowledge of the Equities business (cash equities, equity derivatives and prime brokerage), with a good understanding of the equities business rules and regulations in the APAC region.

• Quickly build an understanding of the business lines, including booking models, products, transaction types and nature of business, covering and providing advice to multiple trading and sales desks.

• Build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.

• Provide guidance to more junior members of the team.

• Assess new business proposals versus pertinent laws, regulatory requirements and exchange rules including coordinating with global Advisory Compliance teams where required.

• Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.

• Provide real-time advice to the business regarding proposed transactions in a timely manner.

• Assist internal stakeholders where required with product and/or market expertise, such as Trade Surveillance, Risk, Internal Audit, Operational Risk, Operations.

• Create and deliver training to the business and other functions as required, covering topics such as market abuse, trading venue rules and other topics pertinent to specific business lines.

• Draft and implement Advisory Compliance policies and procedures,

• Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation for potential STOR submissions.

• Assist with responding to any relevant regulatory requests.

• Minimum of 15 years of demonstrated relevant experience in the industry. Knowledgeable of regulations and industry best practices.

• Solid understanding of Equities markets, products and business practices with at least 5 years of product experience. Additionally, in-depth knowledge of one or more areas of Fixed Income is preferred.

• Independent, self-starter skilled in identifying risks, managing stakeholders, and providing solutions.

• Familiar with relevant industry standards and statements of good practice, particularly market rules and relevant codes and guidance.

TD Securities is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.