Surveillance Analyst, FP Business Surveillance
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Key skills for this role
About the Role
TD Bank seeks a Surveillance Analyst for the FP Business Surveillance team to execute Tier 1 supervision and regulatory activities. You will monitor client account activity, review trades, and ensure compliance with CIRO regulations.
Key Skills for This Role
Responsibilities
- Conduct effective and timely Tier 1 supervision of client account activity, including daily trade supervision and monthly account supervision
- Ensure trading and account activities are within CIRO regulations by reviewing daily & monthly trading activities and identifying/reporting unusual activity
- Conduct effective and timely review of numerous business reports (e.g., CRM Securities Deposit & Transfer Reports, TD Premium Oversight Reports)
- Use available tools to track, trend and investigate areas of possible regulatory and/or business risk; reach sound conclusions and recommendations
- Support Financial Planners, Senior Regional Managers, and management in timely resolution of outstanding items by providing guidance and direction
- Conduct Tier 1 Supervisory review of Registrants electronic communications using Email Supervision tool to ensure compliance with CIRO regulations
- Provide a source of information for management by investigating enquiries and responding to various management requests
- Perform Strict Supervision reviews, including detailed assessments of daily trading activity and preparation of monthly summary reporting
- Communicate effectively on compliance related matters within TD Wealth to achieve effective regulatory oversight
- Maintain extensive knowledge of regulatory, compliance and operational requirements
- Contribute and share ideas by proactively engaging with the team and management
- Assist with presentations and training/information sessions to peer group
Requirements
- Undergraduate Degree or Community College Diploma preferred
- Licensed with CIRO as an Investment Representative or Registered Representative
- Minimum of 2 years relevant experience
- CIRE Canadian Investment Regulatory Exam
- RSE Retail Securities Exam
- Supervisor Exam
- Compliance, AML/ATF, legal, business management, internal audit, regulatory or risk management experience in financial services
- Sound knowledge of TD Wealth (FP) business
- Strong communication, interpersonal and organizational skills
- Detail oriented, highly organized, able to work in fast paced environment
- Ability to work independently, think critically and make decisions
- Proficient with MS Office
Full Job Posting
Department Overview
- The Tier 1 Surveillance Teams within PWM Wealth Business Controls is responsible for managing the TD risk structure framework as defined as a first line of defense / 1A delegated function for the FP business for TD Wealth.
- The team's core mandate is to fulfill CIRO Tier 1 regulatory accountabilities while supporting broader business controls and market integrity.
Accountabilities
- Conduct effective and timely Tier 1 supervision of client account activity, as defined in a centralized structure.
- Ensure trading and account activities are within CIRO regulations by reviewing daily & monthly trading activities and identifying / reporting any unusual trading or account activity.
- Conduct effective and timely review of numerous business reports (e.g., CRM Securities Deposit & Transfer Reports, TD Premium Oversight Reports), disseminate relevant information to business partners and ensure spot checks are conducted & follow up as necessary.
- Use available tools to track, trend and investigate areas of possible regulatory and/or business risk; reach sound conclusions and recommendations based on that analysis and communicate those effectively to Senior Regional Managers and/or Senior Manager/Manager
- Support Financial Planners (FPs), Senior Regional Managers, and management in the timely resolution of outstanding items by providing guidance, education, and direction aligned with established policies and procedures.
- Using the Email Supervision tool, the SA will Conduct Tier 1 Supervisory review of Registrants electronic communications to ensure they are compliant with CIRO regulations.
- Provide a source of information for management by investigating enquiries, providing details as required to assist in investigations and responding to various management requests on a timely basis
- Perform Strict Supervision reviews, as required, including detailed assessments of daily trading activity, escalation of concerns to Senior Regional Managers (SRMs) and business partners, and preparation of monthly summary reporting to support oversight.
- Communicate effectively on compliance related matters within TD Wealth to achieve effective regulatory oversight.
- Maintain extensive knowledge of regulatory, compliance and operational requirements.
- Contribute and share ideas by proactively engaging with the team and the management
- Participate fully as a member of the team and contribute to a positive work environment
Technical Requirements
- Undergraduate Degree or Community College Diploma preferred.
- Licensed with Canadian Investment Regulatory Organization (CIRO) as an Investment Representative or Registered Representative
- Minimum of 2 years Relevant Experience
- CIRE Canadian Investment Regulatory Exam
- RSE Retails Securities Exam
- Supervisor Exam
Skills
- Ability to read/write/speak French would be an asset
- Compliance, including AML/ATF compliance, legal, business management, internal audit, regulatory or risk management experience in the financial services sector.
- Sound knowledge of the TD Wealth (FP) business
- Experience with Actimize and/or Smarsh would be an asset
- Strong communication, interpersonal and organizational skills
- Detail oriented, highly organized, and able to work in a fast paced, dynamic environment
- Ability to work independently, think critically and make decisions
- Proficient with MS Office
Pay Details
- CAD 59,500 CAD 84,000 CAD
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