Associate Vice President, Compliance, TD Securities Trade Surveillance (Canada)
Toronto, ONThe Toronto-Dominion Bank (Canada)
10+ ansCandidates need at least 10 years of brokerage compliance, first-line or risk and controls experience in markets at a top-tier bank, including trade surveillance. Canadian market rules knowledge, people leadership, strong communication skills and experience at a regulator such as CIRO are also sought.
Trade surveillance platform
Senior Manager, Monitoring and Testing (5747)
Toronto, ONThe Toronto-Dominion Bank (Canada)
10+ ansCandidates need 10+ years in compliance, risk, internal audit or regulatory oversight at a financial institution, and proven experience leading teams and risk-based testing. A university degree is required, with JD, MBA or professional certifications as an asset. Strong capital markets knowledge, Canadian regulatory expertise and advanced Microsoft Office skills are expected.
Microsoft Excel, Microsoft Word, Microsoft PowerPoint