# Senior Compliance Business Oversight Analyst (5589) at TD Bank

TD Bank is hiring a Senior Compliance Business Oversight Analyst (5589) in Toronto, Canada. Level rates it Little AI ●○○○; you can [apply on Level](https://jobsbylevel.com/go/6904e401-fd36-4698-86ba-6d3c5f3022e7?utm_medium=ai-agent).

AI Level 1, AI centrality 38 out of 100. Toronto, Ontario.

## Details

- Company: [TD Bank](https://jobsbylevel.com/companies/td-bank)
- AI level: AI Level 1 (score 38 out of 100)
- Location: Toronto, Ontario
- Posted: October 16, 2026
- Apply: https://jobsbylevel.com/go/6904e401-fd36-4698-86ba-6d3c5f3022e7?utm_medium=ai-agent

## Description

Work Location: Toronto, Ontario, Canada Hours: 37.5 Line of Business: Compliance Pay Details: $81,600 - $115,200 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: Department Overview The TD Securities Inc. (TDSI) Compliance Department is responsible for the compliance strategy and oversight programs, including designing and implementing monitoring and supervisory programs for the firm. This is accomplished by: Conducting monitoring and surveillance Providing training and education Liaising with regulators Promoting a compliance culture within the firm Taking preventative measures to ensure compliance with the rules and regulations Implementing Policies and Procedures designed to achieve compliance with applicable laws and regulations Licensing and registration requirements Reviewing new business opportunities, such as new products or markets from a compliance perspective Job Description The Senior Compliance Business Analyst position covering Exchange Traded Products Compliance Advisory is responsible for providing advice and guidance on regulatory requirements and firm policies applicable to the Exchange Traded Products business lines and working closely with the business and internal stakeholders in the development, communication, implementation and ongoing maintenance of policies and procedures to promote compliance with such requirements. The Senior Analyst must be highly responsive in a business environment where decisions must be made in stressful, time sensitive situations and where information is often ambiguous and incomplete. The role is also expected to keep abreast of developments in an ever-changing regulatory environment and their impact on the business. This position will report to the Senior Manager, Compliance Business Oversight. Primary Responsibilities: Provide strategic oversight and lead key initiatives, including end-to-end project delivery, remediation of control gaps, and implementation of sustainable process improvements. Perform compliance monitoring and reviews for equity and listed derivatives sales and trading. Assist with compliance monitoring program for Capital Markets activity including updating the program based on regulatory changes and the results of internal or external examinations. Deliver periodic training to Capital Markets staff members on regulatory matters and firm policies and procedures. Perform LOPR Options and Futures reviews which would include data validation and testing. Prepare and present compliance reports to the equities and listed derivatives best execution committee meetings. Assist in updating the Compliance Procedures Manual. Assist with regulatory exams or internal audits for exchange traded products desks. Assist with regulatory inquiries and investigations for exchange traded products desks. Escalate any significant issues to Compliance management on a timely basis Promoting a compliance culture within the firm Taking preventative measures to ensure compliance with the rules and regulations Job Requirements Proficiency requirements and skills: A strong familiarity with equities and listed derivatives products and trading requirements Strong working knowledge of the Universal Market Integrity Rules (UMIR), TSX Rules, Montréal Exchange Rules, CIRO Investment Dealer and Partially Consolidated

The description is cut here. Read the full offer: https://jobsbylevel.com/jobs/senior-compliance-business-oversight-analyst-5589-at-td-bank-8b1e5d

Source: https://jobsbylevel.com/jobs/senior-compliance-business-oversight-analyst-5589-at-td-bank-8b1e5d

## Cite this page

Level. https://jobsbylevel.com/jobs/senior-compliance-business-oversight-analyst-5589-at-td-bank-8b1e5d.

Get job alerts: https://jobsbylevel.com/newsletter