דרושים Operations Analyst - Request Asset Management ב-Td Bank ב-Canada, Toronto

Job Description

This position will be responsible for supporting Merrill Lynch Canada and our Custody clients across Equity and FICC events. Specifically process, communication and reconciliation of our Dividends, Coupons, Maturities and Tax plus support as needed for mandatory corporate actions.

Qualifications

• Brokerage and industry experience beneficial but not necessary.

• Canadian Securities Course beneficial but not necessary.

• Excel and process automation, Tax and product skills an asset

• Perform processing of Events, reconciliations, notifications and cash flows.

• Proven organizational and time management skills.

• Ability to work in a fast paced, deadline-oriented environment.

• Strong interpersonal skills to manage your relationships within custodian, and internal & external clients.

• Excellent communication skills, verbal and written.

• Demonstrated success working in a team environment.

• Ability to work collaboratively on projects and well as independently.

• Ability to work flexible hours, end of day is approximately 5:30pm.

Job Description

The Reconciliation team completes daily reconciliation of Global Bulk Payment and Wholesale Banknote Nostro accounts including funding of a sub set of accounts along with Visa integrated virtual account reconciliation. Conduct outreach to nostro accounts held globally for investigations related to debits/credits on the account for additional information, as required. Prepare GL entries, as required. Support Wholesale Banknote daily funding analysis reports. Position supports any ad hoc requests related to the accounts and monitoring of aging per GRG policies and procedures.

Reconcile Canada Branch Nostro accounts, aging transactions, certificaiton of account balances, preparing swift messages and other PNL, funding reports, and preparing daily/monthly reports including ahoc requests. This job is responsible for analyzing the day-to-day issues, researching, and providing resolution for various issues identified within a business unit. Key responsibilities include building new procedures, completing complex non-routine analytics, creating reports, and reviewing exception testing and processing. Job expectations include supporting continuous improvement of processes by identifying trends and understanding the operations environment.

Qualifications

• Prepare the daily P&L and Due From Limit reports

• Prepare and investigate the daily GFX variances and balancing reports

• Handle the daily bank account reconciliation

• Ensure assigned online support cases are completed

• Investigate and resolve outstanding items in a timely manner, adhering to policies and procedures

• Certify accounts on Frontier monthly

• Prepare monthly Revenue Payback and FATCA remittance

• Ensure quality service and effective and efficient operations support for internal business partners and external customers

• Prioritize daily tasks to ensure deadlines and deliverables are met

• Identify and implement process improvements

• Provide support to other departments and traders on reconciliation-related inquiries

• Supports the manager in documentation, implementation and mentoring of new process

• Representing department manager on meetings & projects during absences

• Act as a back up during team member's absence

• Perform audit walkthroughs and gathering of data and/or documents to support audit requests (internal/external)

• Perform other duties as assigned

Qualifications

• Experience in bank account reconciliation

• Experience with AS400/Global Bulk system an asset

• Accounting background required

• Solid computer skills including Excel and strong analytical skills

• Ability to work independently with minimal supervision; team player

• Ability to meet established deadlines in a fast paced environment

• Commitment to teamwork

• Demonstrated working knowledge of processes and procedures

• Excellent organizational skills

• Strong attention to detail and accuracy

• Availability to work shifts and statutory holidays if required

Job Description:

Job Description:

Produce system requirements and in alignment with standards and frameworks. Work in close partnership with various partners and stakeholders to elicit, analyze, document, communicate and manage functional and non-functional requirements.

CUSTOMER

• Leverage specialized domain, product, and systems knowledge to have a thorough understanding of the business, product, and vision; provide business-technology interaction subject matter expertise as well as recognize and drive the focus toward business value.
• Identify, document, and validate current state technologycapabilities/ecosystemand support stakeholders to design the desired future state; provide recommendations and/or direction based on the end-to-end customer experience when making decisions.
• Collaborate with key stakeholders to determine solutions, assess impact to existing work processes and systems, and how to manage the integration
• Translate business requirements into detailed functional specifications taking into account non-functional requirements
• Own and manage the traceability of system requirements through design and development, testing, and deployment; ensure the acceptance criteria demonstrates the changes to systems that will meet stakeholder expectations.
• Support testing teams in translating requirements and use cases into test conditions and expected results for product, performance, user acceptance, and operational acceptance testing
• Provides support/oversight and guidance in the delivery of technology requirements with focus on quality, reusability, scalability, and innovation.
• Promote innovation by applying subject matter expertise to generate forward-thinking ideas as well as critical thinking to find opportunities for improvement
• Provide operational / process-related analysis and support to various extents

SHAREHOLDER

• Adhere to existing processes/standards including requirements management technology delivery practices and standards, and business technology architecture, escalating issues as required
• Continuously enhance knowledge/expertise in own area and keep current with leading-edge technology trends/developments and develop expertise in TD services, applications, infrastructure, analytical tools and techniques that can contribute to effective solution development/delivery
• Continuously enhance knowledge of business domains and their products/services
• Support and contribute to change management planning and activities, including those that ensure operational readiness.
• Support implementation and post-implementation planning and activities.
• Support the development of business cases including benefits identification, RFI/RFP and service level agreements with vendors/suppliers consistent with technologyrequirements/guidelines
• Adhere to the TD code of conduct

EMPLOYEE / TEAM

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest.
• Provide thought leadership and/ or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business unit.
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques.
• Participate in personal performance management and development activities, including cross training within own team.
• Keep others informed and up to date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities.
• Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
• Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce.
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.

BREADTH & DEPTH:

• Advanced to Expert knowledge of system analysis process and techniques
• Advanced to Expert knowledge of systems and applications supported by the team including system components, functionality, interfaces, data flows, and business rules
• Advanced to Expert knowledge of enterprise technology delivery practices and standards and related expertise including design, development, testing and. delivery frameworks
• Advanced understanding of business supported and business analysis
• Provides leadership and guidance, makes recommendations, and collaborates with business and technology to ensure the technology solution meets the business needs
• Lead technology requirements management for high risk, strategic initiatives
• Identifies and leads problem resolution for complex technology requirements-related issues
• Leads and provides guidance on the identification, maintenance, and reporting of traceability of system requirements
• Works independently as the senior or lead system analyst and coaches/guides members within area of expertise
• Subject matter expert and consults with clients and/or project teams
• Reports to a Manager, Senior Manager, or Practice Lead

Key Responsibilities:

• Develop effective and efficient solutions byresearching/analyzingcurrent state system processes and defining technology solutions options / recommendations working closely with key technology partners

• Collaborate with key stakeholders to determine solutions, assess impact to existing work processes and systems, and how to manage the integration
• Translate business requirements into detailed functional specifications taking into account non-functional requirements
• Capture and document the traceability of system requirements through design and development, testing, and deployment; ensure the acceptance criteria demonstrates the changes to systems that will meet stakeholder expectations.
• Support testing teams in translating requirements and use cases into test conditions and expected results for product, performance, user acceptance, and operational acceptance testing
• Provides support/oversight and guidance in the delivery of technology requirements with focus on quality, reusability, scalability, and innovation.

Required Skills and Experience:

• 7+ years of relevant experience. Any length of CIAM/ Fraud experience is a nice to have.
• Leads system requirements management for moderate to high complexity/risk initiatives in alignment with strategies
• Commitment to applying advanced to expert knowledge of business technology delivery practices and standards and related expertise, including design, development, testing and project management.
• Advanced to expert knowledge of business analysis process and techniques, as well as system components, functionality, interfaces, data flows and business rules
• Ability to work independently as the senior or lead business analyst and coach or guide team
• Experience and comfort level acting as a subject matter expert and consultant

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.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

Job Description:

The Client Due Diligence (CDD) team conducts due diligence on TD Securities clients during onboarding, periodic reviews, and on an ongoing basis. The team ensures compliance with Global AML and other regulatory requirements, mitigating operational, regulatory, and reputational risks.

JobDescription/Accountabilities:

- Conduct AML reviews: Verify AML requirements (KYC, FATCA, CIRO, CRS), ensuring compliance during onboarding, periodic reviews, and ad-hoc events.

- Conduct in-depth research using independent online sources to gather requisite information for client due diligence.

- Maintain audit trails: Ensure accurate tracking of incoming requests and documentation throughout the process.

- Deliver exceptional quality: Perform accurate data entry, mitigating risks related to regulatory, financial, operational, or reputational exposure.

- Identify opportunities for improvement: Engage in process enhancement initiatives to improve efficiency.

- Assist with strategic initiatives and participate in the rollout and adoption of new operational and regulatory initiatives.

Job Requirements:

- Ability to work on routine and ad-hoc requests within defined parameters, while handling operational and reporting functions.

- Strong organizational and problem-solving skills to meet deadlines in a high-volume environment.

- Proficiency with MS Office tools, particularly Excel, and experience with Bloomberg/Impact. Technical skills in UI Path, Alteryx, VBA are a plus.

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.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

Customer

• Support a specific portfolio of projects with EPDE Governance Requirements and play a key advisory role in supporting project managers

• Work to establish Funding Envelope structure within TDS that can be leveraged for future uses

• Document and Assess Pros and Cons of current vs future state of Governance Models

• Become a key contributor to the new Value Creation Plan (VCP) program

• Become SME over time in EPDE and ORM rules and accountabilities to support Project Managers from advisory perspective

• Provide specialized business management related advice / support to management / leadership and respective teams for area(s) of specialization with industry, external and internal, enterprise and business awareness; understand trends, identify issues and opportunities and provide recommended action to management

• Manage a set of business management work activities requiring coordination across multiple areas

• Support / manage the integrated implementation of policies / processes / procedures / changes in across multiple functional areas

• Provide subject matter expertise and/or input to projects/initiatives as a representative for area of specialization, and where necessary participate in identifying, designing and testing solutions and supporting implementation activities

Shareholder

• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level

• Support the establishment of Funding Envelope within TD Securities to run in parallel to Smart Funding Process

• Develop and deliver presentations / communications to management or broader audience

• Adhere to internal policies / procedures and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying potential opportunities to improve operational efficiencies

• Identify variances and contribute to the analysis, due diligence and implementation of initiatives and/or business operations within defined area of responsibility

• Support development and/or/ implementation of standards, policies, procedures, and solutions that mitigate risk and maximize availability of service, efficiency and effectiveness

Employee/Team

• Continuously enhance knowledge / expertise in Project Governance and Project Finance

• Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques

• Prioritize and manage own workload to deliver quality results and meet assigned timelines

• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency

• Establish effective relationships across multiple business and technology partners, program and project managers

• Participate in knowledge transfer within the team and business units

Breadth & Depth

• Work independently as the senior analyst / subject matter expert and may coach and educate others

• Considered a subject matter expert within a given area

• Oversee and/or independently perform tasks from end to end

• Generally reports to a Senior / Manager role

Experience & Education

• Undergraduate degree

• 5-7 years relevant experience

• PMP or other Project Management certifications are an asset

• Project Management or other project related work experience

• Experience is reviewing project financials

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.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

Job Description:

We are seeking a highly motivated compliance professional to join our global Compliance Strategy and Operations team. In this role you will be responsible for designing, scaling, building, implementing, and maintaining an adaptive and mature Risk Compliance Management program. You will empower first-line risk owners and compliance oversight functions to build and maintain mature compliance programs. You will be responsible for identifying potential compliance risks and working with relevant teams to develop mitigation strategies. Must have a strong background in drafting compliance frameworks, policies, standards, and procedures as you will play a critical role in creating a well-documented scalable, sustainable, and repeatable global compliance framework. You will oversee and manage the global compliance governance document inventory. In this role you will also lead the development and execution of the strategic annual compliance plan. Must be able to work well in a team dynamic to ensure the seamless execution of complex, high-impact projects. Must have strong communication, organization, and leadership skills and the ability to work in a fast-paced environment. Demonstrated experience in risk management, risk compliance self-assessment, program effectiveness assessment, and control design effectiveness assessment also desired.

:

• Support the global Compliance Program in defining and achieving departmental objectives:
  • Design operational risk management plans and the annual compliance strategic plan
  • Develop document retention solutions
  • Create and maintain inventories, libraries, and archival systems
  • Improve and scale compliance management routines, workflows, and processes to simplify, streamline and create efficiencies
  • Liaise with risk, compliance, ERM/ORM, legal, and audit partners as required
  • Drive and support the implementation of enterprise-wide transformation projects
  • Perform staffing skills assessments and determine departmental resource gaps
  • Develop and maintain a Roles and Responsibilities matrix
• Take ownership of Compliance Governance Documentation
  • Reviewing, editing, drafting, and maintaining relevant policies and procedures
  • Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk appetite
  • Lead the development of a structured approach to policy management to ensure clarity and consistency
  • Take owner ship of the policy on policy, by designing a policy development framework, approval process, implementation and communication strategy, enforcement and monitoring, review and update management routines, style guide, templates
  • Manage the global Compliance Online Document Inventory, manage the upload process, perform health checks, and provide data driven reports monthly
  • Drafting Procedures that define clear accountability, ownership, roles, and responsibilities and include processes that are sustainable, scalable, and repeatable
  • Leverage the results and output from Risk Control Self-Assessments and Program Effectiveness Assessments to facilitate update process of impacted governance documents
  • Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory, and industry best practices
• Lead and draft responses to inquiries from regulators and respond to internal audit findings
• Develop and use metrics (KRIs/KPIs) to oversee and measure first-line performance and the consistent implementation of compliance standards, must have a deep understanding of Risk Control Self-Assessment, Control Effectiveness Assessment, Program Effectiveness Assessment methodologies and GRC tools
• Strong Project management skills to ensure timelines and deadlines are met
• Independently handle projects, work without direct oversight or intervention, manage competing priorities, and communicate effectively with internal audiences,
• The ability to work in a team environment
• Performs other duties and responsibilities as assigned

Education & Experience

• J.D. from an accredited law school
• Minimum 7+ years of experience in governance, or risk management within the financial services or FinTech industry
• Prior experience drafting responses and preparing evidence packages for regulators and internal audit
• Excellent verbal and writing skills with a demonstrated history of independently writing quality policies, and procedures
• Strong understanding of regulatory frameworks, risk management best practices, or mature Compliance Management Systems
• Advance proficiency with GRC platforms (preferably ServiceNow and Archer)
• Consistently delivers high-quality and timely work with strict attention to detail and a strong sense of ownership and accountability
• Intellectually curious, provides insightful solutions as well as information
• Learns and adapts easily, flexible, and comfortable with ambiguity
• Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
• Prior project management experience
• Ability to work in a diverse and inclusive workspace
• Ability to work in a team dynamic and be a team player
• Proficient in Word, Excel, PowerPoint, Outlook, Teams, and Microsoft Office Suite

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.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

Job Description:

TD Asset Management Inc. (TDAM) is one of Canada’s largest investment management firms offering an ever-expanding suite of investment management solutions.

TDAM’s flexible suite of investment management solutions has been specially designed to meet the needs of institutional investors including pension funds, corporations, endowments, foundations as well as accounts for high net worth and retail investors.

In addition to domestic and global equity, fixed income and alternative products, we also offer cash management, transition management, portable alpha strategies, asset mix rebalancing services and passive currency overlay strategies.

Overview of Responsibilities

TDAM manages portfolios for Canadian and U.S. clients, both retail investors and institutional clients. As such, the team requires its employees to have a solid knowledge base in both Canadian and U.S. investment management regulations TDAM has general fiduciary obligations as an asset manager of client money. These obligations require TDAM to have policies and procedures in the areas of portfolio investment guideline monitoring and trading monitoring andoversight.

Specific Accountabilities as it related to Portfolio Oversight

• Maintain an effective operation of the compliance monitoring systems by developing a solid understanding of the workings of the various internal tools and systems, including Bloomberg AIM,
• Utilize Bloomberg AIM to monitor compliance rules, test for violations and analyze results.
• Oversee the implementation and maintenance of compliance rules
• Gain deep understanding of all regulatory rules and all client specific rules that are applicable for each account/mandate. Ensure all applicable investment restrictions are coded on the relevant compliance monitoring system in an accurate and timely basis (for new mandates) and amended, when required, (for existing mandates).
• Review all new account rule coding being set up in the compliance system prior to PM's submitting the first trade for Synthetic mandates.
• The candidate will be expected to be current on all US and Canadian investment management regulations, including the
  Ontario Securities Act
• Liaise with other internal teams, including Regulatory Policy and Governance (RPG), Product, Portfolio Management, Compliance and Legal to ensure new products are consistent with the regulations and TDAM's Monitoring Principals.
• Play an education role for TDAM, being the source of expertise in Canadian and U.S. regulatory knowledge as it relates tomonitoring.

Job Requirements/ Skills/ Qualifications

• Ideally, 2+ years' experience in a similar or pre-post trade compliance related role within a buy-side firm
• Solid understanding of investment strategies, asset types (Equities, Fixed Income and derivatives)
• Proficiency with Bloomberg CMGR and VMGR functions or similar compliance monitoring and rule-coding systems is preferred. Experience in alternative compliance systems is an asset.
• Ability to analyze, interpret and implement both client and regulatory driven investment restrictions to ensure alignment with applicable regulatory rules and to the Firm's monitoring and portfolio oversight framework.
• Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making
• Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner
• Demonstrated ability to work effectively and cross-functionally with employees at all levels and develop effective working relationships
• Highly motivated self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
• Programming and database management experience will be considered an asset.

** Position will be filled as an Analyst or Associate depending on experience level**

**4 days required in the office**

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.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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