Job Description
Become an integral part of TD Bank as a Compliance Business Oversight Analyst II in Toronto, Ontario. This role emphasizes adherence to securities regulations through effective risk management.
As a Compliance Analyst, you will oversee and assess compliance activities, perform in-depth surveillance reviews, and identify risk factors. Your role involves analyzing trade data and documenting findings to ensure alignment with regulatory standards. Collaborating with team members will be vital in nurturing a culture of compliance and accountability within the organization.
Key Responsibilities:
• Oversee ongoing reviews of compliance activities
• Conduct pattern analyses to identify regulatory risks
• Document compliance issues for escalation and further review
• Ensure audit readiness by maintaining detailed evidence
Requirements:
• Relevant undergraduate degree or equivalent experience
• At least 2 years of experience in compliance or related fields
• Familia...
As a Compliance Analyst, you will oversee and assess compliance activities, perform in-depth surveillance reviews, and identify risk factors. Your role involves analyzing trade data and documenting findings to ensure alignment with regulatory standards. Collaborating with team members will be vital in nurturing a culture of compliance and accountability within the organization.
Key Responsibilities:
• Oversee ongoing reviews of compliance activities
• Conduct pattern analyses to identify regulatory risks
• Document compliance issues for escalation and further review
• Ensure audit readiness by maintaining detailed evidence
Requirements:
• Relevant undergraduate degree or equivalent experience
• At least 2 years of experience in compliance or related fields
• Familia...