Compliance Business Oversight Analyst II (4819)

Job Description

Work Location: Toronto, Ontario, Canada Hours: 37.5 Line of Business: Compliance Pay Details: $69,700 - $98,400 CAD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Job Description Summary Provide oversight, analysis, and quality assurance of compliance surveillance and review activities across multiple business lines. The role focuses on independent oversight of monitoring outputs, patterning analyses, regulatory inquiries, and control effectiveness to ensure alignment with applicable securities regulations, internal policies, and risk management expectations. Job Description Key Accountabilities Customer Perform ongoing oversight reviews of surveillance alerts, trade activity reports, and exception outputs to assess the adequacy, timeliness, and quality of first-line reviews. Conduct daily, monthly, quarterly, and ad-hoc patterning and thematic analyses to identify potential regulatory, conduct, or control risks. Assess accuracy and appropriateness of trade markers, client identifiers, account attributes, and change-of-ownership indicators. Analyze trading activity, cash and securities movements, suitability indicators, client priority considerations, and potential conflicts of interest. Document review results, identify issues or control gaps, and escalate matters requiring further investigation or remediation. Support responses to regulatory inquiries through analysis, evidence gathering, and preparation of review summaries. Shareholder Provide independent challenge and oversight of compliance surveillance processes to support effective risk management. Evaluate control design and operating effectiveness through structured review programs and testing activities. Identify trends, emerging risks, and systemic issues through data-driven analysis and pattern recognition. Contribute to audit, examination, and regulatory readiness by maintaining accurate documentation and evidence. Ensure activities are conducted in alignment with applicable securities regulations, internal policies, and compliance standards. Promote consistent application of compliance controls across products, account types, and client segments. Employee / Team Participate as an active member of the compliance oversight team, supporting collaboration and knowledge sharing. Maintain and enhance subject matter e

Required Skills