Securities Compliance Testing Lead

Apply Canadian securities regulation and critical analysis as a Compliance Testing Lead with TD Securities Inc. in Toronto, Ontario. The role requires 37.5 hours weekly.This newly created Core Compliance position manages implementation of the Monitoring and Testing program. You will evaluate complex regulatory business issues, interpret rules operationally, and support TD’s Regulatory Compliance Management Framework. Collaboration spans business and functional partners, regional Compliance leads, regulators, and senior management.Key Responsibilities:
Develop and execute effective compliance monitoring and testingIdentify mitigating facts and circumstances during testingDeliver compliance training to relevant employeesSupport Canadian policies and procedures developmentAssist with trade desk reviews and special projectsRequirements:
University degree requiredFive-plus years securities compliance or related experienceUnderstanding of operations, finance, and regulatory reportingAbility to manage multiple projects and tight deadlinesAbility to think critically and make decisionsBring securities compliance experience, regulatory judgment, and project management skills to TD Securities’ Toronto testing program.
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