Senior Compliance Officer, Global Control Room

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$100,000 - $135,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Preferred Qualifications:

TD Securities is seeking an experienced Senior Compliance Officer to join our Compliance Control Room, focusing on portfolio management of the department's initiatives & programs. The successful hire will assist the Global Control Room Head and the GCR Portfolio Management VP with implementing a program focused on the initiatives below:

* Global Control Room Portfolio Management:
Work with the senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.

* Regulatory Responses and Internal Audits:
Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including requests for data, and exam inquiries as they relate to Global Control Room.

* Issues Management:
Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders.

* Quality Assurances:
Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancements.

* Program Enhancements:
Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.

* Global Control Room Procedures:
Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.

* Compliance Culture:
Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices.

* Stakeholder management:
Work across teams globally to build effective working relationships across diverse stakeholder groups.

Education & Experience:

* Bachelors degree required: JD or MBA preferred.

* At least 5-7 years of overall work experience, with a minimum of 3+ years of relevant banking/finance industry.

* Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations.

* Experience with complex regulatory remediation efforts.

* Experience identifying regulatory risks and issues, and practical solutions to mitigate risk for Compliance Global Control Room.

* Highest personal and professional integrity and standards to advance TD's vision and protect the brand.

* Strong verbal and written communication skills.

* Strategic thinker with excellent judgement able to deliver effectively on project and departmental issues.

* Experience working in a fast-paced environment and managing multiple priorities well.

* Ability to successfully operate in an evolving, sometimes ambiguous, matrixed environment.

* Experience with data visualization tools (e.g. Power BI, Tableau) and advanced Excel skills a plus.

* General

Job Description:

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.

Depth & Scope:

* Works independently as the senior officer and may coach and educate others

* Individual contributor role providing specialized expertise or may lead a small team of specialists

* Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators

* Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information

* Provides day to day interaction and support to Management

* Oversees/executes and/or performs tasks from end to end

* Focuses on short to mid-term issues (e.g. monthly-quarterly)

Education & Experience:

* Bachelors degree…