Compliance Manager for Exchange Traded Products

Become a key player in compliance at TD Securities in Toronto. The Manager of Exchange Traded Products Compliance Advisory provides essential guidance to ensure regulatory adherence and implement effective processes. This managerial role focuses on advising the Exchange Traded Products business lines on regulatory requirements and firm's policies. You'll engage with stakeholders and lead initiatives while being responsive in a high-pressure environment. Keeping informed about evolving regulations is crucial for maintaining compliance and facilitating proper training. Key Responsibilities: • Provide strategic oversight on compliance initiatives • Advise on trading activities and business initiatives • Conduct compliance monitoring for derivatives sales • Deliver compliance training to Capital Markets staff • Assist with regulatory inquiries and exams Requirements: • Strong knowledge of trading regulations and products • Proficiency in Power BI and data analytics • Project management experience in compliance • Exceptional communication skills, written and oral • Comfort in a trade desk environment Utilize your expertise in regulatory compliance and trading to support TD's Exchange Traded Products team. #J-18808-Ljbffr