Surveillance Analyst, DI Business Surveillance – PWM Wealth Business Controls
Top Benefits
About the role
Work Location: Markham, Ontario, Canada Hours: 37.5 Line of Business: Governance & Control Pay Details: $59,500 - $84,000 CAD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Department Overview The Tier 1 Surveillance Teams within PWM Wealth Business Controls is responsible for managing the TD risk structure framework as defined as a first line of defense / 1A delegated function for the DI businesses for TD Wealth. The team's core mandate is to fulfill CIRO Tier 1 regulatory accountabilities while supporting broader business controls and market integrity. Through a risk-based program focused on Account Activity Monitoring, Surveillance provides coverage of applicable CIRO rules, internal policies, and Universal Market Integrity Rules (UMIR), enabling the timely identification, investigation, and escalation of potential risks across the business Job Description Reporting to the Senior Manager or Manager, DI Business Surveillance, the Surveillance Analyst (SA) is responsible for executing against a broad range of surveillance and regulatory activities including select Tier 1 supervision accountabilities for DI. As a regulatory subject matter expert, they are accountable for addressing regulatory and compliance related matters, with particular focus on requirements of the Canadian Investment Regulatory Organization (CIRO), Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) regulations, and Canada’s Privacy Act. Accountabilities Detailed accountabilities and objectives within this role include, but are not limited to the following: Conduct effective and timely Tier 1 supervision of client account activity, as defined in a centralized structure. As an example, the position will be responsible for daily trade supervision as well as monthly account supervision. Ensure trading and account activities are within CIRO regulations by reviewing daily & monthly trading activities and identifying / reporting any unusual trading or account activity. Conduct effective and timely review of numerous business reports (e.g., OMS Override Edits report, Low Price Security report, Account Monitoring reports), disseminate relevant information to business partners and ensure spot checks are conducted & follow up as necessary. Use available tools to track, trend and investigate areas of possible regulatory and/or business risk; reach sound conclusions and recommendations based on that analysis and communicate those effectively to Business or Wealth Compliance partners Provide a source of information for management by investigating enquiries, providing details as required to assist in investigations and responding to various management requests on a timely basis Using the Email Supervision tool, the SA will Conduct Tier 1 Supervisory review of Registrants electronic communications to ensure they are compliant with CIRO regulations. Escalate appropriately any findings where there may be misconduct / concerns Provide a source of information for management by investigating enquiries, providing details as required to assist in investigations and responding to various management requests on a timely basis Communicate effectively on compliance related matters within TD Wealth to achieve effective regulatory oversight. Adheres to Global AML/ATF policies, processes and controls in the DI Business so as to effectively mitigate AML/ATF risk. Maintain extensive knowledge of regulatory, compliance and operational requirements. Contribute and share ideas by proactively engaging with the team and the management Participate fully as a member of the team and contribute to a positive work environment Assist with presentations and training/information sessions to peer group Assist with special projects, or investigations, as required. Other duties as assigned. Technical Requirements Undergraduate Degree or Community College Diploma preferred. Licensed with Canadian Investment Regulatory Organization (CIRO) as an Investment Representative Minimum of 2 years Relevant Experience CIRE – Canadian Investment Regulatory Exam RSE - Retails Securities Exam Supervisor Exam Derivative Exam Skills Sound working knowledge of the fundamentals and techniques of trading including all relevant issues of compliance and the relevant policies of regulatory and government agencies Sound knowledge of the TD Wealth (DI) business Familiarity with Kyndryl is required Experience with Actimize and/or Smarsh would be an asset Strong communication, interpersonal and organizational skills Detail oriented, highly organized, and able to multitask in a fast-paced, dynamic environment Ability to work independently, think critically and make decisions Proficient with MS Office Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more Additional Information: We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home. Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements. Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process. We look forward to hearing from you! Language Requirement (Quebec only): Sans Objet US Labor & Employment Posters | California Privacy | Accessibility | FAQ Our Values At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture. Our Commitment to Diversity, Equity, and Inclusion At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. Helping to Make an Impact in Communities – TD Ready Commitment TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific
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Surveillance Analyst, DI Business Surveillance – PWM Wealth Business Controls
Top Benefits
About the role
Work Location: Markham, Ontario, Canada Hours: 37.5 Line of Business: Governance & Control Pay Details: $59,500 - $84,000 CAD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Department Overview The Tier 1 Surveillance Teams within PWM Wealth Business Controls is responsible for managing the TD risk structure framework as defined as a first line of defense / 1A delegated function for the DI businesses for TD Wealth. The team's core mandate is to fulfill CIRO Tier 1 regulatory accountabilities while supporting broader business controls and market integrity. Through a risk-based program focused on Account Activity Monitoring, Surveillance provides coverage of applicable CIRO rules, internal policies, and Universal Market Integrity Rules (UMIR), enabling the timely identification, investigation, and escalation of potential risks across the business Job Description Reporting to the Senior Manager or Manager, DI Business Surveillance, the Surveillance Analyst (SA) is responsible for executing against a broad range of surveillance and regulatory activities including select Tier 1 supervision accountabilities for DI. As a regulatory subject matter expert, they are accountable for addressing regulatory and compliance related matters, with particular focus on requirements of the Canadian Investment Regulatory Organization (CIRO), Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) regulations, and Canada’s Privacy Act. Accountabilities Detailed accountabilities and objectives within this role include, but are not limited to the following: Conduct effective and timely Tier 1 supervision of client account activity, as defined in a centralized structure. As an example, the position will be responsible for daily trade supervision as well as monthly account supervision. Ensure trading and account activities are within CIRO regulations by reviewing daily & monthly trading activities and identifying / reporting any unusual trading or account activity. Conduct effective and timely review of numerous business reports (e.g., OMS Override Edits report, Low Price Security report, Account Monitoring reports), disseminate relevant information to business partners and ensure spot checks are conducted & follow up as necessary. Use available tools to track, trend and investigate areas of possible regulatory and/or business risk; reach sound conclusions and recommendations based on that analysis and communicate those effectively to Business or Wealth Compliance partners Provide a source of information for management by investigating enquiries, providing details as required to assist in investigations and responding to various management requests on a timely basis Using the Email Supervision tool, the SA will Conduct Tier 1 Supervisory review of Registrants electronic communications to ensure they are compliant with CIRO regulations. Escalate appropriately any findings where there may be misconduct / concerns Provide a source of information for management by investigating enquiries, providing details as required to assist in investigations and responding to various management requests on a timely basis Communicate effectively on compliance related matters within TD Wealth to achieve effective regulatory oversight. Adheres to Global AML/ATF policies, processes and controls in the DI Business so as to effectively mitigate AML/ATF risk. Maintain extensive knowledge of regulatory, compliance and operational requirements. Contribute and share ideas by proactively engaging with the team and the management Participate fully as a member of the team and contribute to a positive work environment Assist with presentations and training/information sessions to peer group Assist with special projects, or investigations, as required. Other duties as assigned. Technical Requirements Undergraduate Degree or Community College Diploma preferred. Licensed with Canadian Investment Regulatory Organization (CIRO) as an Investment Representative Minimum of 2 years Relevant Experience CIRE – Canadian Investment Regulatory Exam RSE - Retails Securities Exam Supervisor Exam Derivative Exam Skills Sound working knowledge of the fundamentals and techniques of trading including all relevant issues of compliance and the relevant policies of regulatory and government agencies Sound knowledge of the TD Wealth (DI) business Familiarity with Kyndryl is required Experience with Actimize and/or Smarsh would be an asset Strong communication, interpersonal and organizational skills Detail oriented, highly organized, and able to multitask in a fast-paced, dynamic environment Ability to work independently, think critically and make decisions Proficient with MS Office Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more Additional Information: We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home. Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements. Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process. We look forward to hearing from you! Language Requirement (Quebec only): Sans Objet US Labor & Employment Posters | California Privacy | Accessibility | FAQ Our Values At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture. Our Commitment to Diversity, Equity, and Inclusion At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. Helping to Make an Impact in Communities – TD Ready Commitment TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific