Junior Regulatory Reporting Operations Specialist analyzing vast trade reporting data and ensuring regulatory reporting quality at SEB. Collaborating with teams to resolve reporting issues for regulatory compliance.
About the role
- Senior Compliance Governance Analyst at TD designing and implementing securities aggregation monitoring programs. Established compliance structures while advising stakeholders and overseeing securities positions.
Responsibilities
- 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.
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