Job Description
Elevate your career at TD Asset Management as a Governance and Compliance Analyst in Toronto. This pivotal role ensures adherence to regulatory requirements and enhances operational risk management.
Reporting to the Managing Director in the Regulatory & Policy Governance division, you will play a significant role in supporting compliance with investment fund regulations. A background in compliance or internal audit within financial services is essential, along with strong communication skills and a keen attention to detail.
Key Responsibilities:
• Compile reports and manage the policy tracker
• Support trading oversight and compliance reviews
• Maintain annual training plans and attendance records
• Prepare quarterly materials for the Independent Review Committee
• Foster relationships with regulatory associations
Requirements:
• Minimum 2 years of experience in a compliance role
• Relevant university degree/diploma is preferred
• Proficient in Microsof...
Reporting to the Managing Director in the Regulatory & Policy Governance division, you will play a significant role in supporting compliance with investment fund regulations. A background in compliance or internal audit within financial services is essential, along with strong communication skills and a keen attention to detail.
Key Responsibilities:
• Compile reports and manage the policy tracker
• Support trading oversight and compliance reviews
• Maintain annual training plans and attendance records
• Prepare quarterly materials for the Independent Review Committee
• Foster relationships with regulatory associations
Requirements:
• Minimum 2 years of experience in a compliance role
• Relevant university degree/diploma is preferred
• Proficient in Microsof...