Senior Compliance Governance Analyst

Role Overview

• Design and implement an end-to-end securities aggregation monitoring program, including methodologies, data requirements, escalation procedures, and reporting standards.
• Establish governance structures, documentation, and policies to ensure consistent interpretation and application of regulatory thresholds.
• Implement holdings-related restriction controls aligned to regulatory requirements (e.g., Bank Holding Company Act, sectoral foreign ownership rules).
• Oversee the daily and periodic aggregation of securities positions across all relevant TD Securities entities and accounts.
• Identify potential threshold breaches, execute timely escalation, and coordinate remediation activities.
• Advise senior stakeholders on regulatory exposure, required filings, and remediation actions.
• Produce periodic and ad hoc reporting for Management, Governance Committees, and Regulators.
• Lead investigations into potential holding limit breaches and coordinate corrective action plans.
• Assess root causes and drive sustainable process enhancements to prevent recurrence.
• Support regulatory examinations and internal audits.
• Identify control gaps and drive implementation of enhanced systems, data feeds, and aggregation logic.
• Partner with Technology to enhance automation, accuracy, and integrity of aggregation data.

Requirements

• 5+ years of relevant experience in securities regulation, compliance, risk management, or related functions.
• Deep knowledge of regulatory frameworks governing securities ownership, including the Bank Holding Company Act, foreign ownership restrictions, and sectoral limits.
• Strong analytical capabilities and data governance experience in complex data environments.
• Demonstrated ability to build new functions or programs, including policy development, governance frameworks, and control design.
• Exceptional stakeholder management and communication skills, including senior executive engagement.
• Experience with FundApps or similar regulatory aggregation and monitoring platforms.
• University degree.

Benefits

• Total Rewards package includes base salary, variable compensation, and several 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.