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Compliance Business Oversight Analyst II – Regulatory Inquiries, Investigations
TD. Be accountable for responding to time-sensitive regulatory inquiries including investigations, preparing documentation, interviewing parties involved and liaising with various Lines of Businesses and 1B functional areas .
About the role
Key responsibilities & impact- Be accountable for responding to time-sensitive regulatory inquiries including investigations, preparing documentation, interviewing parties involved and liaising with various Lines of Businesses and 1B functional areas
- Track the status and report to management all interactions and communications with regulators
- Collaborate with colleagues from TD Wealth compliance to avoid redundancies relating to regulatory requests
- Collaborate with compliance colleagues in other regions to provide ensure quality and consistency in regulatory communications
- Carry out various compliance monitoring reviews relating to sales and trading and ensuring any findings are promptly remediated
- Assist in maintaining, designing, and creating compliance reviews to ensure oversight align with business strategies and documenting detailed review procedures
- Assist with the annual update of Compliance Policies and Procedures
- Cross training to back up Compliance Advisory team
- Prepare stats of regulatory inquiries for quarterly Trade Desk Report (TDR)
Requirements
What you’ll need- 3-5 years Broker Dealer experience
- Strong familiarity with CIRO, MX, OSC and applicable securities Commission rules
- Familiarity fixed income listed equity and derivatives market structure, and operations is required
- TD internal operations or trading system experience preferred
- Proficient in MS Office
Benefits
Comp & perks- Health and well-being benefits
- Savings and retirement programs
- Paid time off
- Banking benefits and discounts
- Career development opportunities
- Reward and recognition programs
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
regulatory inquiriescompliance monitoringdocumentation preparationinterviewingcompliance reviewspolicy updatesbroker dealer experiencemarket structure knowledgeoperations knowledgereport preparation
Soft Skills
accountabilitycollaborationcommunicationorganizational skillsattention to detailproblem-solvingcross-trainingliaisingremediationquality assurance