The Toronto-Dominion Bank (Canada)
Monitor equity aggregation across TD Bank and affiliates against regulatory thresholds; validate data lineage and calculations to ensure accuracy. Generate early‑warning notifications for approaching thresholds; circulate clear, evidence‑backed updates to business stakeholders. Advise stakeholders when disclosure requirements are triggered; coordinate reporting and filing activities with Legal and regional compliance. Recommend control and process changes to sustain compliance with aggregation and disclosure rules; document decisions and rationale. Collaborate with Legal, Finance Operations, Technology, vendors, trading desks, and regional compliance to resolve alerts, clarify rules, and fix data issues. Track issues end‑to‑end, streamline workflows, and implement durable solutions; confirm remediation across systems and stakeholders. Manage issue tracking from internal reviews, audits, and regulatory...
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Compliance Governance & Operations Analyst II (4922)
Description
Description
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