Senior Compliance Officer - Monitoring and Testing; Associate - Securities

Work Location

New York, New York, United States of America

40

Compliance

$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.

This Senior Compliance Officer is a key member of the TD Securities - US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed.

• Assist with developing and executing the annual Compliance Testing and Monitoring plan
• Determine scope of reviews; build detailed review steps; organize documentary evidence of review
• Execute testing engagements, and prepare reports to document exceptions and action plans
• Communicate deficiencies to the business and key stakeholders, and exercise credible challenge.
• Oversee remediation of gaps identified in the testing process
• Build relationships with key stakeholders globally
• Assist in identifying areas for enhanced Monitoring, Testing or training

• Develop Testing and Monitoring metrics, and contribute to department reporting
• Support issues management development and tracking of Compliance-identified findings
• Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
• Participate in special projects as they arise to enhance compliance functions
• Work closely with other support functions and the business areas to support a culture of compliance across the firm
• Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments

• BA/BS or a similar degree required. JD degree desirable, but not required
• 5 or more years of relevant experience in Compliance Testing or Audit within a registered US broker dealer or regulator, with a focus on capital markets or investment bank (wholesale banking).
• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
• Project management skills and ability to manage multiple work streams involving different partners and groups.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
• Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
• A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
• Proficient in Word, Excel and Power Point

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.

• Works…