Canadian Securities Compliance Manager
The Toronto-Dominion Bank (Canada)
Apply Canadian securities regulation expertise as a Compliance Monitoring & Testing Manager with TD Securities in Toronto, Ontario.This newly created Core Compliance role supports TD’s Regulatory Compliance Management Framework through monitoring and testing implementation. You will interpret CIRO, MX, OSC, and related requirements in operational contexts. Success requires securities compliance experience, critical thinking, sound judgment, and effective relationships with regulators and business partners.Key Responsibilities:
Implement monitoring and testing supporting the RCM FrameworkEvaluate complex regulatory business issuesInterpret regulations within changing operational contextsPartner with regulators and functional business groupsEscalate matters to senior management when appropriateRequirements:
University degree requiredFive or more years of related securities experienceStrong knowledge of Canadian securities marketplace regulationsAbility to prioritize projects with tight deadlinesAbility to work independently and collaborativelyUse regulatory interpretation, critical analysis and relationship-building skills to strengthen compliance oversight across TD Securities.
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Implement monitoring and testing supporting the RCM FrameworkEvaluate complex regulatory business issuesInterpret regulations within changing operational contextsPartner with regulators and functional business groupsEscalate matters to senior management when appropriateRequirements:
University degree requiredFive or more years of related securities experienceStrong knowledge of Canadian securities marketplace regulationsAbility to prioritize projects with tight deadlinesAbility to work independently and collaborativelyUse regulatory interpretation, critical analysis and relationship-building skills to strengthen compliance oversight across TD Securities.
#J-18808-Ljbffr
Vacancy posted 1 hour ago
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