Compliance Business Oversight Analyst Ii (4819)

TD Ameritrade

Toronto, Ontario, Canada
Base: $69,700 - $98,400 cad; bonus/equity: variabl...
Oversight of compliance surveillance activities
Analysis of trade activity and market conduct risks
Knowledge of canadian securities regulations
This role provides independent oversight and quality assurance of compliance surveillance across multiple business lines to ensure alignment with securities regulations

Job Summary

  • This role provides independent oversight and quality assurance of compliance surveillance across multiple business lines to ensure alignment with securities regulations.
  • The position requires conducting daily, monthly, and ad-hoc analyses of trading activity and client data to identify potential regulatory or conduct risks.
  • TD offers a competitive compensation package including base salary, variable compensation, health benefits, and extensive career development opportunities.

Matching Summary

This role provides independent oversight and quality assurance of compliance surveillance across multiple business lines to ensure alignment with securities regulations.

Salary

Base: $69,700 - $98,400 CAD; Bonus/Equity: Variable compensation mentioned; Benefits: Health, savings, retirement, paid time off

Skills & Requirements

Must-have

  • Oversight of compliance surveillance activities
  • Analysis of trade activity and market conduct risks
  • Knowledge of Canadian securities regulations
  • Documentation of review results and control gaps
  • Assessment of surveillance alert adequacy

Nice-to-have

  • Data-driven pattern recognition skills
  • Experience with regulatory readiness processes
  • Ability to provide constructive peer feedback
  • Collaborative team member in risk-aware culture

Key Requirements

  • Undergraduate degree or equivalent work experience
  • 2+ years of relevant experience in compliance or surveillance
  • Strong knowledge of Canadian securities regulations

Work Rights

Not specified

Tailored Resume

Cover Letter