Advance your career as a Compliance Governance and Operations Analyst II at TD in Toronto. This role focuses on compliance monitoring and education within a leading financial institution's compliance department.
The TD Securities Compliance Department is responsible for maintaining regulatory standards and promoting a compliance culture across the organization. In this role, you will assist in monitoring employee trading and help deliver essential training to ensure adherence to compliance regulations. Your ability to interpret regulations and work under deadlines will be vital for success.
Key Responsibilities:
• Oversee monitoring and escalation of employee personal trading
• Maintain current listings in the StarCompliance database
• Draft and file Insider Trading Reports for executives
• Support day-to-day compliance inquiries from employees
• Provide training and resources regarding compliance standards
Requirements:
• At least 3 years of compliance exper...