Senior Compliance Governance & Operations Analyst
TD Bank Group(25 days ago)
About this role
The role provides specialized, objective supervisory oversight and guidance to the Branch Manager, ABM, advisors and portfolio managers within the market to support a securities-regulated business. It ensures adherence to risk and control frameworks and regulatory requirements while serving as a subject-matter resource on compliance and industry standards. The position supports onboarding, training and escalation of high-risk activities to protect organizational interests.
Required Skills
- Supervisory Oversight
- Compliance Monitoring
- Risk Assessment
- Regulatory Reporting
- Client Onboarding
- Training
- Coaching
- Portfolio Management
- KYC
- Trade Review
+3 more
Qualifications
- Undergraduate University Degree
- Registered Supervisor (Options) or ability to register within 6 months
- CIRO Registration (asset)
- CIM (asset)
- CFA (asset)
- CFP (asset)
- PFP (asset)
About TD Bank Group
td.comExplore TD's online banking services, credit cards, checking accounts, savings accounts, loans and more financial products for you and your business.
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