Elevate your career with TD Securities in Toronto as a Compliance Governance and Operations Analyst II. This position focuses on monitoring and compliance within the financial sector while offering opportunities for professional growth.
The Compliance Department at TD Securities Inc. ensures adherence to regulatory requirements through effective oversight and training programs. As a Compliance Analyst, you will employ your expertise in securities rules while engaging with employees to promote a strong compliance culture. The role demands proficiency in managing personal trading requirements, monitoring compliance, and supporting team members effectively.
Key Responsibilities:
• Conduct monitoring and surveillance on personal trading issues
• Maintain employee lists in the StarCompliance System
• Complete Insider Trading Reports for senior officers
• Provide day-to-day support for personal trading needs
• Assist in drafting training materials for compliance educatio...