Analyst, Compliance Initiatives & Portfolio - Remote

Overview

The Analyst, Compliance Initiatives & Portfolio role focuses on ensuring adherence to compliance regulations within TD's trading operations, particularly in the capital markets.

In Short

• Conduct surveillance for compliance with regulatory requirements.
• Manage projects related to trade and communications surveillance.
• Build relationships with compliance teams across regions.
• Participate in surveillance modernization projects.
• Assess new products and venues from a compliance perspective.
• Communicate compliance issues to stakeholders.
• Maintain compliance surveillance procedures.
• Assist with regulatory inquiries and audits.
• Monitor regulatory developments and trends.
• Support business development of compliance policies.

Requirements

• 3+ years of experience in compliance surveillance.
• Familiarity with regulatory rules and market structures.
• Excellent communication skills, both written and oral.
• Ability to manage multiple priorities and meet deadlines.
• Strong integrity in handling confidential information.
• Advanced degree or relevant certifications are desirable.
• Ability to analyze and interpret laws and regulations.
• Experience working for a regulator is a plus.
• Understanding of operational risk management principles.
• Demonstrated leadership and team management skills.

Benefits

• Competitive salary and variable compensation.
• Health and well-being benefits.
• Paid time off and banking benefits.
• Career development and mentoring programs.
• Access to online learning platforms.
• Recognition programs for performance.
• Retirement savings programs.
• Support for mental well-being goals.
• Inclusive and diverse work environment.
• Opportunities for professional growth.