Analyste II, Gouvernance et Exploitation, Conformité

Lieu De Travail

Toronto, Ontario, Canada

Horaire

37.5

Secteur D’activité

Conformité

Détails De La Rémunération

$69,700 - $98,400 CAD

Department Overview

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients.

Requirements

• Conduct monitoring and surveillance
• Provide training and education
• Promote a compliance culture within the firm
• Take preventative measures to ensure compliance with the rules and regulations
• Review new business opportunities, such as new products or markets, from a compliance perspective

Job Description

• Responsible for monitoring/surveillance, and where applicable escalation, of employee personal trading with respect to the Grey...