human resources manager
Title posted on CareerBeacon -
Manager, Control Room, Compliance ()
Posted on
October 24, 2024
by
Employer details
TD Bank
Job details
Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:n/a - n/a CADTD 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:Department OverviewThe TD Securities Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients. This is accomplished by:Conducting monitoring and surveillanceProviding training and educationLiaising with regulatorsPromoting a compliance culture within the firmTaking preventative measures to ensure compliance with the rules and regulationsReviewing new business opportunities, such as new products or markets from a compliance perspectiveJob DescriptionPrimary compliance coverage and real time support and advice to business areas within Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity & Deby Capital Markets), Global Credit and Global Markets, with respect to personal trading requirementsResponsible 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.Responsible for managing team of 5-7 personnel responsible for executing the day-to-day requirements of the program.Responsible for reporting any compliance related issues to Senior Management, as appropriateProvide day-to-day advisory support to supervisors, front office employees and support groups on regulatory rulesCommunicate with front office employees and supervisors to assess risk and remediate issuesAssist in the design and maintenance of supervisory proceduresAssist in regulatory reviews, including inquiries, audits and examsDesign and deliver applicable training for business unit personnelActively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulationsInteract with IT support and Risk Management to ensure technology and business practices remain compliant with Firm policies and industry regulationSupporting the business in their development of policies, procedures and training programs to facilitate compliance with regulatory requirementsProficiency Requirements and SkillsFamiliarity with CIRO and applicable securities commission rules as well as understanding of Global rules and best practices.Knowledge of market structures and operations and the associated regulatory issuesExtensive knowledge of investment banking activities and in-depth product knowledge a plusAbility to think critically and make decisionsAbility to take ownership and see matters to completionExcellent communication skills, both written and oralAbility to deal with staff and management at all levels in TD Securities and TDBGAbility to work under pressure and meet deadlinesStrong personal integrity in dealing with confidential and sensitive information.Canadian Securities Course (CSC) desirable but not requiredConduct and Practices Handbook (CPH) and Trader Training Course (TTC) desirable but not requiredOther Qualifications/Skills/Experience: Ability to understand, analyze, interpret and apply such regulation in an operational context in an environment that is ever changing and has competing prioritie
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LocationToronto, ON
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Workplace information
On site
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SalaryNot available
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Terms of employment
Permanent employmentFull time
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Starts as soon as possible
- vacancies
1 vacancy
- Source
CareerBeacon
#2115927
Advertised until
2024-11-22
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