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Added 2 days ago
S
Sr. Business Analyst, Reinsurance
Sapiens
Canada
- Full-time
The Senior Business Analyst operates under limited supervision taking the lead as a client liaison, conducting business process analysis, needs assessments, and preliminary cost/benefits…
Added 2 days ago
HG
Senior Product Owner, AI
Hypertec Group
QC · St-Laurent, QC
- Full-time
Work with the Business Systems Analyst to refine business needs into user stories and acceptance criteria ready for development, and accept or reject delivered work against them.
Added 2 days ago
ST
Financial Planning Analyst
Sailun Tire Americas
Woodbridge, ON
- $60,000 to $90,000 USD / year
- Contract
This role offers high-level exposure and close interaction with North American senior management, business unit stakeholders, cost center owners, as well as Group Finance and Operations…
Added 2 days ago
I
Global Solution Marketing Director, Oil & Gas
IFS
Ottawa, ON
- Full-time
Define and execute an account-based marketing (ABM) strategy for priority target accounts, in close partnership with the sales and business development teams.
Added 2 days ago
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BMO Capital Markets Summer 2027 Corporate Banking Analyst, Montreal
BMO
Montreal, QC · HO
- Full-time
…risk management, debt and equity research and institutional sales and trading. BMO Capital Markets has over 2,700 professionals in 30 locations around the world, including 20 offices in…
Added 2 days ago
B
BMO Capital Markets New Grad 2027 Corporate Banking Analyst, Montreal
BMO
Montreal, QC · DEMA
- Full-time
…Orientation and our Global Investment Banking Training and Development Program which begins in July 2027. The program is designed to help you make the transition from theory to practice.…
Added 2 days ago
A
Current Accenture Summer Analysts Only – Full Time Deal Structuring & Pricing - Client Transactions Services Analyst - Canada NAELFY27
Accenture
Toronto, ON
- Full-time
…financial architects all working in concert with solutions and sales to drive profitable growth for Accenture. If you have a financial or accounting background and are interested in…
Added 2 days ago
I
Global Solution Marketing Director, Oil & Gas
IFS
Ottawa, ON
- $135,000 to $175,000 USD / year
- Full-time
Define and execute an account-based marketing (ABM) strategy for priority target accounts, in close partnership with the sales and business development teams.
Added 2 days ago
B
BMO Capital Markets Summer 2027 Internship Risk and Capital Solutions Analyst, Toronto
BMO
Toronto, ON · FCP
- Full-time
The Summer Analyst will work alongside experienced professionals on projects that directly support business priorities and senior management decision-making. The role offers exposure to…
Added 2 days ago
GR
Senior Financial Analyst
Granite REIT
Toronto, ON · Greater Toronto Area, Canada
- $90,000 to $100,000 CAD / year
- Full-time
Reporting to the Vice President, Corporate Controller, the Senior Financial Analyst (SFA), Financial Reporting plays a key role in the consolidation and external reporting processes. This…
Added 2 days ago
M&
Senior HR Engagement Analyst
McLean & Company
London, ON · Toronto, ON
- Full-time
engagement in their organizations, and sharing best practice research to guide them on how to improve? If so, the Senior HR Engagement Analyst role may be for you!
Added 2 days ago
SJ
Associate Brand Manager
So Jobs
Toronto, ON
- $78,300 to $102,300 CAD / year
- Full-time
Senior Analyst, Brand Revenue Growth Management (RGM) / Associate Manager, Brand Revenue Growth Management (RGM)
Added 2 days ago
NB
Senior Business Management Analyst - Equity Group
National Bank of Canada
Montreal, QC
- Full-time
The Senior Business Management Analyst supports the Equities group, with a focus on ensuring the integrity and accuracy of business intelligence data. The role is responsible for accurate…
Added 2 days ago
WO
Asset Manager Commercial
WP Osborne Executive Search Inc.
Toronto, ON
- Full-time
…multi-residential, office, industrial, retail, mixed-use, condo, hotels, and senior living across the functions of asset management, investments, development, construction, leasing,…
Added 2 days ago
M
Talent & Rewards Consulting Analyst
Marsh
Toronto, ON
- Full-time
As a Compensation Analyst in the Workforce and Rewards practice, you will work with a broad range of clients and industries in a stimulating environment, participating as an integral member…
Added 2 days ago
M
Talent & Rewards Consulting Analyst
Marsh
Ottawa, ON
- Full-time
As a Compensation Analyst in the Workforce and Rewards practice, you will work with a broad range of clients and industries in a stimulating environment, participating as an integral member…
Added 2 days ago
D
Business Technical Analyst
Deloitte
Toronto, ON
- Full-time
We're growing our Product Engineering & Development team and seeking an experienced Junior Developer who can contribute to both delivery and pre-sales activities. Depending on your…
Added 2 days ago
TS
Analyst – Front Office Application Engineer
TD Securities
Toronto, ON
- Full-time
The Quantitative Engineering and Development (QED) team is a front-office quantitative technology and analytics group within TD Securities that supports the Global Equity Derivatives…
Added 2 days ago
TH
SENIOR ANALYST PRICING CAN
The Home Depot Canada
Toronto, ON
- Full-time
The Senior Analyst, Pricing supports The Home Depot’s Merchandising organization by executing analytical work, generating insights, and contributing to pricing strategy for a defined…
Added 2 days ago
TH
analyste principal, Établissement des prix
The Home Depot Canada
Toronto, ON
- Full-time
The Senior Analyst, Pricing supports The Home Depot’s Merchandising organization by executing analytical work, generating insights, and contributing to pricing strategy for a defined…
Added 2 days ago
Agentic Analytics Engineer
Opendoor
Toronto, ON
As a Senior+ Agentic Analytics Engineer at Opendoor, you will join the Data organization and help build something that doesn't exist at most companies: an Agentic Analytics team. This is a…
Added 2 days ago
RB
Senior Analyst, Derivatives Confirmations, CA
Royal Bank of Canada
Toronto, ON
- Full-time
…requirements. The role also involves daily interaction with Trading, Sales, and internal partners to resolve inquiries and support business…
Added 3 days ago
SB
Senior Analyst, Commercial Analytics & Revenue Growth Management
Sleeman Breweries Ltd.
Guelph, ON
- Full-time
● Professional development opportunities including mentorship and leadership development
Added 3 days ago
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Analyst
Winchesters
Toronto, ON · North York, ON
- Full-time
This is an excellent opportunity for an early-career professional to work closely with senior management, develop their financial analysis skills, and gain broad exposure to real estate…
Added 3 days ago
T
Analyst – Front Office Application Engineer
TD
Toronto, ON
- Full-time
The Quantitative Engineering and Development (QED) team is a front-office quantitative technology and analytics group within TD Securities that supports the Global Equity Derivatives…

Senior Compliance Business Oversight Analyst (5589)

Toronto, ON, Canada

$81,600 - $115,200 CAD · Full-time

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Job details

Pay: $81,600 - $115,200 CAD
Job type: Full-time
Apply by: Oct 30, 2026
Posting language: English
Posted: Oct 16, 2026

Original job 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 Rules (IDPC), and applicable Canadian securities legislation, including relevant National Instruments governing equity, derivatives, and marketplace trading activities. e.g. UMIR Rulebook, TSX & Montreal Exchange Rules, NI-23-101, NI 23-103.
Proficiency in Power BI and data analytics, with demonstrated experience leveraging automation to enhance compliance processes, streamline reviews and reporting, and identify data trends and exceptions.
Demonstrated project management experience, with the ability to identify and remediate control gaps, develop and implement effective control enhancements, and drive initiatives through to completion.
Experience with Rules and Regulations of the Montreal Exchange, CIRO and applicable Securities Commissions.
Experience investigating and making sense of information through data analysis, understanding data patterns and trends, as well as resolving and troubleshooting data integrity.
Comfortable in a trade desk environment and communicating with various Lines of Businesses including front office staff members
Strong communication skills, both written and oral
Strong personal integrity in dealing with confidential and sensitive information.
Self-motivated, confident, and capable of working both independently and in a team environment

Other Qualifications/Skills/Experience:

Ability to manage and prioritize multiple projects, many with tight deadlines
Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management
Ability to deal with staff and management at all levels in TD Securities and TDBG
Ability to think critically and make decisions

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet

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More about this job

Responsibilities

Provide compliance advice and strategic oversight for exchange-traded products, including equities and listed derivatives, and lead initiatives to address control gaps and improve processes. Conduct monitoring and reviews, analyze and report compliance data, deliver training, maintain policies and procedures, and support regulatory examinations, inquiries, and investigations.

Requirements

Candidates should have strong familiarity with equities and listed derivatives, and working knowledge of UMIR, TSX and Montréal Exchange rules, CIRO rules, and applicable Canadian securities legislation. The role also requires Power BI and data analytics proficiency, project management and control remediation experience, strong communication and critical-thinking skills, and the ability to manage competing deadlines independently and collaboratively.

Skills

Equities and Listed Derivatives Compliance
Regulatory Compliance
Compliance Monitoring
Power BI
Data Analytics
Project Management
Control Gap Remediation
Regulatory Reporting
Data Validation
Trade Surveillance
Regulatory Investigations
Policy and Procedure Development
Training Delivery
Stakeholder Communication
Critical Thinking
Issue Escalation

Benefits

Health and Well-Being Benefits
Savings and Retirement Programs
Paid Time Off
Banking Benefits and Discounts
Career Development
Reward and Recognition Programs

Visa sponsorship

Not detected in the job text

Keywords

Exchange-Traded Products
Equities
Listed Derivatives
Capital Markets
Compliance Advisory
Compliance Monitoring
Trade Surveillance
Power BI
Data Analytics
Automation
Universal Market Integrity Rules
TSX Rules
Montréal Exchange Rules
CIRO Investment Dealer and Partially Consolidated Rules
National Instruments
NI 23-101
NI 23-103
Best Execution
LOPR Options and Futures Reviews
Regulatory Examinations
Internal Audits
Regulatory Inquiries
Control Enhancements
Project Management
Policies and Procedures

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