Surveillance Analyst, DI Business Surveillance – PWM Wealth Business Controls
The Toronto-Dominion Bank (Canada)
Opportunity Description
Description
Reporting to the Senior Manager or Manager, DI Business Surveillance, the Surveillance Analyst (SA) is responsible for executing against a broad range of surveillance and regulatory activities including select Tier 1 supervision accountabilities for DI. As a regulatory subject matter expert, they are accountable for addressing regulatory and compliance related matters, with particular focus on requirements of the Canadian Investment Regulatory Organization (CIRO), Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) regulations, and Canada’s Privacy Act.
Accountabilities
Detailed accountabilities and objectives within this role include, but are not limited to the following:
Conduct effective and timely Tier 1 supervision of client account activity, as defined in a centralized structure. As an example, the position will be responsible for daily trade supervision as well as monthly account supervision.
Interested in this opportunity? Apply now through Expertini.
Apply for this Position