Senior Compliance Officer – CIB Credit Compliance, Securities

Work Location

New York, New York, United States of America

40

Compliance

$100,000 - $150,000 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.

CIB Credit Compliance plays an important control and oversight role within TD Securities’ Corporate and Investment Banking (CIB) Credit function, supporting deal setup, covenant monitoring, compliance reporting, exception management, and audit/regulatory readiness across the global corporate lending portfolio. The successful candidate will report to the Head of Credit Compliance, CIB Credit, located in New York, and will work closely with CIB Credit teams, Corporate Lending Operations, and other internal stakeholders to support accurate, timely, and well-controlled credit compliance processes.

• Deal Setup and Compliance Intake – receive and review new deal forms, credit agreements, and related documentation to identify reporting covenants and compliance requirements needed for deal setup and ongoing monitoring
• LoanIQ Profile Maintenance – create and maintain LoanIQ profiles to capture reporting requirements for the global corporate lending portfolio and support downstream compliance monitoring processes
• Covenant and Reporting Requirement Monitoring – monitor the receipt, distribution, and return of compliance packages, including maintaining reporting and updating portfolio lists for new deals, cancellations, and other relevant changes
• Exception Management – investigate outstanding compliance items, coordinate with agent banks and deal teams, and support timely resolution of exceptions identified through monthly and quarterly compliance reporting processes
• Credit Management Support – provide outstanding compliance items to external third party to upload and assist with queries during the quarterly review process
• Monthly Compliance Reporting – reconcile LoanIQ outputs prior to distribution of the monthly compliance exception report and support follow-up with lending teams for account updates, new deal forms, and documentation audit requirements
• Quarterly Non-Negotiable Exception Process – investigate and work with credit teams to provide outstanding items to Corporate Lending Operations in connection with the quarterly non-negotiable exception report
• Documentation and Records Management – maintain online storage for compliance and legal documentation, ensuring records are complete, organized, and available to support internal controls, audit, and regulatory reviews
• Stakeholder Coordination – interact regularly with CIB Credit teams, Corporate Lending Operations and other stakeholders to support compliance monitoring, issue resolution, and process execution
• Audit and Regulatory Support – assist with internal audits, regulatory examinations, control reviews, evidence gathering, and related responses involving CIB Credit processes
• Process Improvement – identify opportunities to improve compliance tracking, reporting workflows, documentation practices, and controls supporting the credit compliance framework

• Strong organizational skills with excellent attention to detail and the ability to manage multiple priorities, time-sensitive requests, and recurring reporting cycles
• Demonstrated ability to review credit agreements, reporting covenants, and related lending documentation with accuracy and sound judgment
• Experience supporting compliance monitoring, exception management, audit responses, regulatory reviews, or control processes within a financial institution
• Stro…