SENIOR COMPLIANCE OFFICER recruitment

Our over 81,000 employees world-wide are a big part of what makes TD stand out from any other organization. Every day, we deliver legendary customer and client experiences to our approximately 19 million customers. We’re an award-winning organization that reinvests constantly to ensure future growth.

We’re recognized as an extraordinary place to work that embraces diversity, where everyone is respected and valued. TD is the sixth largest bank in North America by branches, with many exciting and challenging career opportunities in our four key businesses:

• Canadian Personal and Commercial Banking - including TD Canada Trust and TD Insurance
• Wealth Management - including TD Waterhouse and an investment in TD Ameritrade
• U.S. Personal and Commercial Banking - including TD Bank, America’s Most Convenient Bank
• Wholesale Banking - including TD Securities

Department Overview
TD Wealth Investment Compliance (TD WIC) is part of the overall TD Wealth Management Compliance department. TD WIC is responsible for overseeing the investment management business of TD Asset Management Inc. (Portfolio Manager, Investment Fund Manager and Exempt Market Dealer), TDAM USA Inc. (Investment Adviser) and TD Waterhouse Private Investment Counsel Inc. (Portfolio Manager and Exempt Market Dealer). These businesses are engaged in mutual fund, pooled fund trust and segregated account management for pension funds, endowments, corporations, retail and high net worth clients as well as fund manager activities. In addition, this group also supports the Private Banking and Private Trust businesses. Finally, this Compliance Department works closely with the Risk Management Department on issues impacting the adviser business.

Job Description

The primary responsibilities of the Senior Compliance Officer will include:
• Execute day-to-day compliance activities for institutional portfolio manager, exempt market dealer (Canada) and investment adviser (U.S.).
• Provide advice and guidance through the interpretation of regulatory requirements and internal policies and procedures.
• Establish strong working relationship with business unit personnel.
• Ensure compliance with applicable regulation and business unit internal policies and standards.
• Receive other duties as assigned by Manager, Compliance and Chief Compliance Officer.
• Identify, investigate and analyze current and emerging regulatory/compliance issues and/or trends.
• Participate on business unit project committees to provide compliance input.

• Key Compliance resource to the Compliance team:
• Assist with special investigations or other surveillance as required.
• Cross-train and provide back-up to other compliance personnel as needed.
• Liaise/work with industry regulators, associations, related parties and counterparts at other financial institutions on compliance matters.
• Assist with the execution of the overflow of the Compliance Monitoring Program as necessary.

Job Requirements

Specific Education Requirements/Accreditations:
• University degree in Business, Finance or equivalent work experience
• Canadian Securities Course or other relevant exams.

Other Qualifications/Skills/Experience:
• Minimum of 5 years work experience in investments, audit and/or compliance.
• Strong knowledge of portfolio manager and exempt market dealer (Canada) investment adviser (U.S.) regulatory requirements.
• Experience conducting audit or monitoring reviews with the ability to think outside the box.
• Ability to understand, analyze and interpret legislation.
• Superior written and verbal communication skills.
• Demonstrates positive attitude, the ability to work with others and a desire to learn.