Group Risk Analyst II

仕事内容

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Department Overview

TD Asset Management (TDAM), a member of TD Bank Financial Group, is a leading North American investment manager offering progressive investment solutions to both institutional and individual investors. For over two decades, the organization has established competitive market positions in active, quantitative, and passive portfolio management. As of March 31, 2022, TDAM and its affiliates manage over $434 billion in assets on behalf of pension, insurance, endowment/foundation, and corporate clients, as well as high-net worth clients and retail mutual funds.

In attaining this client commitment, TDAM has built one of Canada’s largest and most respected investment management and research teams with more than 220 Portfolio Managers, Associate Portfolio Managers, Traders and Analysts.


Job Description

Can you provide a broad range of risk analysis, reporting, monitoring and support to business partner requests? Then working as Group Risk Analyst II would surely be fun for you. We are looking for dynamic professionals who can act as a specialist in providing guidance, analysis and oversight on risk related matters. In addition, you will:

• Maintain an effective operation of the compliance monitoring systems by developing a solid understanding of the workings of the systems, including Bloomberg, the relevant security classification systems, the fund accounting system and other external data sources. Follow-up immediately on any data issues or rule coding irregularities that may be creating false negative or false positive investment breaches.
• For both new client investment mandates and existing mandates, position must have an understanding of all regulatory rules and all client specific rules that are applicable for each account/mandate under his/her responsibility and ensure all applicable investment restriction rules are coded on the relevant compliance monitoring system in an accurate and timely basis (for new mandates) and amended, when required, (for existing mandates).
• Escalate immediately to the portfolio manager and senior management, as appropriate, for any investment rule breaches.
• After conducting a review of all relevant documentation provided by Client Services Group, provide approval to open up new client accounts. An understanding of AML rules as they impact TDAM is important for this accountability.
• To meet the prior listed accountabilities, be current on all US and Canadian investment management regulations, including the Ontario Securities Act rules, the Canadian NI 81-102 mutual fund rules, the U.S. Investment Companies Act mutual fund rules, the U.S. Adviser’s Act rules, AML rules and Canadian and U.S. pension rules. Regulatory rules include investment restrictions within an investment mandate as well as the increasingly complex and changing area of equity and fixed income trading.
• Work with the business to improve control processes for gaps identified through monitoring.
• Support ongoing risk measurement activities by acquiring, analyzing and reporting business operational or relevant loss data
• Play an education role for TDAM, being the source of expertise in Canadian and U.S. regulatory knowledge.
• Assist in the execution of the Regulatory and Policy Governance’s testing program for the periodic testing of controls to assess their design and operating effectiveness in managing risks at TDAM.
• Assist stakeholders in identifying and addressing underlying causes of control breakdowns or instances where controls are inadequate.
• Escalate potential issues and exception items noted during the review process.
• Arrange and discuss testing results with key stakeholders.
• Assist with the closure of open issues identified from testing and ensure they are remediated through recommended corrective actions.
• Participate fully as a member of the team, support a positive work environment that promotes services to the business, quality, innovation and teamwork and ensure timely communication of issues.
  
  

Job Requirements

• Undergraduate degree or technical certificate and/or over 2 years of experience
• Experience in a testing and/or operational risk management role is considered an asset.
• Familiarity with internal controls and quality assurance
• Ability to explain and defend a point of view
• Expertise in working multi-functionally, providing guidance to other team members and ensuring good relations across teams and functions
• Strong communication skills to interact clearly and effectively in a fast-changing environment
• A high-energy individual who can exercise initiatives with minimal discretion and be thorough, accurate, and detail oriented to handle multiple tasks and changing priorities
  
  

Additional Information
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Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.