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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance and regulatory risk management within the financial services sector, ensuring adherence to sales communication standards and effective collaboration with business partners. Proficient in monitoring regulatory changes and conducting thorough reviews to maintain high-quality communication practices.
Highest-signal resume keywords
Compliance ReviewRegulatory Risk ManagementSales Communications AssessmentMicrosoft 365 ProficiencyBilingual Communication
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory Requirements KnowledgeSales Communications Guide ApplicationPost-Issuance ReviewDocumentation Standards CompliancePerformance Data Analysis
Soft Skills
Attention to DetailWritten CommunicationVerbal CommunicationCollaborationIndependent Work
Certifications & Qualifications
Canadian Securities Course (CSC)Conduct and Practices Handbook (CPH)
Industry Keywords
Financial ServicesInternal AuditMarketing GovernanceRisk DisclosuresRegulatory Changes
About the role
Key responsibilities & impact- Review and assess sales communications for compliance with applicable regulations, internal policies, and TD brand standards
- Ensure communications are fair, accurate, complete, and not misleading
- Verify that risk disclosures have equal prominence to benefits and that required disclaimers and footnotes are included
- Conduct post-issuance reviews for prohibited representations, misleading statements, unsubstantiated claims, and inappropriate content
- Confirm consistency across collateral, appropriate audience labeling, and distribution controls
- Apply sales communications guide requirements covering performance data, risk disclosures, legal/proper names, and trademark attributions
- Ensure compliance with internal approval, recordkeeping, and documentation standards
- Monitor regulatory changes and update surveillance and testing procedures
- Maintain testing and surveillance logs
- Prepare reports on findings, trends, and recurring issues
- Support internal and external audits
- Collaborate with business partners to resolve deficiencies and clarify requirements
- Provide feedback, guidance, and training on regulatory and procedural requirements
- Contribute to continuous improvement of marketing governance programs, processes, and tools
- Communicate project and issue status to the team and share information and knowledge
Requirements
What you’ll need- 4+ years of experience in compliance, legal, internal audit, regulatory risk management, or related function within the financial services sector
- Strong knowledge of Canadian, U.S., or global regulatory requirements for sales communications
- Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) are assets
- Excellent written and verbal communication skills
- Strong attention to detail
- Ability to work independently and collaboratively in a fast-paced, deadline-driven environment
- Proficiency with Microsoft 365 applications
- Bilingual would be an asset
- For Quebec positions: mastery of a language other than French to support or deal with employees or colleagues who need services and support in a language other than French
Benefits
Comp & perks- Health and well-being benefits
- Savings and retirement programs
- Paid time off
- Banking benefits and discounts
- Career development
- Reward and recognition programs
- Regular career, development, and performance conversations
- Training programs
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Accessibility accommodations during the interview process