TD Bank

Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)

TD Bank • $100K — $130K *
New York, NY 10025In-Person
Finance & Insurance
5 - 7 years of experience
1 week ago
Job Overview by Ladders

Qualifications

  • BA/BS degree required; JD desirable but not mandatory.
  • 5+ years experience with a registered US broker dealer or regulator.
  • Strong knowledge of finance, regulatory reporting, and operational processes.
  • Excellent interpersonal, leadership, and communication skills.
  • Demonstrated analytical skills and attention to detail.

Responsibilities

  • Assist in developing and executing the annual Compliance Testing and Monitoring plan.
  • Execute testing engagements and prepare reports documenting exceptions.
  • Communicate deficiencies and oversee remediation processes.
  • Build and maintain relationships with stakeholders globally.
  • Support issues management and contribute to department reporting.

Benefits

  • Opportunities for professional growth and skill development.
  • Fair and equitable compensation practices for all colleagues.
  • Support for a culture of compliance across the organization.
  • Potential for advancement and movement within the salary range.
Full Job Description
Work Location:
New York, New York, United States of America

Hours:
40

Line of Business:
Compliance

Pay Detail:
$100,000 - $130,000 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 at TD. Our 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:

This Senior Compliance Officer is a key member of the TDS 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.

Depth & Scope:

Compliance Monitoring and Testing
  • 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


Core Compliance
  • 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


Education & Experience:
  • BA/BS, or a similar degree, required.
  • 5 or more years of experience with a registered US broker dealer or regulator.
  • JD desirable but not required
  • 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 PowerPoint


*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 or progressive work experience
  • 5-7 Years of related experience


Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
  • Domestic Travel - Occasional
  • International Travel - Never
  • Performing sedentary work - Continuous
  • Performing multiple tasks - Continuous
  • Operating standard office equipment - Continuous
  • Responding quickly to sounds - Occasional
  • Sitting - Continuous
  • Standing - Occasional
  • Walking - Occasional
  • Moving safely in confined spaces - Occasional
  • Lifting/Carrying (under 25 lbs.) - Occasional
  • Lifting/Carrying (over 25 lbs.) - Never
  • Squatting - Occasional
  • Bending - Occasional
  • Kneeling - Never
  • Crawling - Never
  • Climbing - Never
  • Reaching overhead - Never
  • Reaching forward - Occasional
  • Pushing - Never
  • Pulling - Never
  • Twisting - Never
  • Concentrating for long periods of time - Continuous
  • Applying common sense to deal with problems involving standardized situations - Continuous
  • Reading, writing and comprehending instructions - Continuous
  • Adding, subtracting, multiplying and dividing - Continuous


The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

About TD Bank

TD Securities offers a range of advisory and capital market services to its clients. The company's range of services includes research, investment banking, capital markets, and global transaction banking. Research consists of commodity and equity research. Investment banking consists of mergers, acquisitions, industry expertise, and credit origination. Global transaction banking consists of trade finance, cash management, and correspondent banking. TD Securities was founded in 1855 and is based in Ontario.

TD Bank Careers

Join the vibrant team at TD Bank, one of North America's leading financial services organizations, where innovation, leadership, and growth go hand in hand. At TD Bank, we are committed to fostering a culture of diversity and inclusion, making it an ideal place for ambitious professionals to thrive. Work You’ll Do At TD Bank, your professional journey is bolstered by a robust support system. From your first interview to every career milestone, you will find opportunities for growth and leadership. Our team is dedicated to helping you develop the skills necessary for success in the ever-evolving financial sector. TD Bank offers a variety of job opportunities across multiple fields, from customer service to investment banking. Each position at TD Bank is a chance to contribute to our culture of innovation and exceptional client service. Internship Programs Kickstart your career with a TD Bank internship. Our programs provide invaluable industry exposure and hands-on experience, making them a perfect starting point for students and recent graduates eager to make their mark in the banking industry. Interns at TD Bank enjoy the unique opportunity to work alongside seasoned professionals, gaining insights that are crucial for future employment. Benefits and Growth TD Bank is deeply committed to the well-being and continuous growth of our team members. We offer competitive benefits packages that cover health, finance, and family care. Our employees enjoy comprehensive health insurance, retirement plans, and generous paid time off, among other perks. Moreover, TD Bank encourages professional development through various training programs, including leadership development and diversity training. These initiatives ensure that our team remains at the forefront of industry standards and best practices. Join Our Team Explore the numerous career paths available at TD Bank and discover how your skills and interests align with our mission. We are actively hiring and continually looking for talented individuals who are passionate about banking and customer service. Networking and Professional Development At TD Bank, we believe in the power of networking and collaboration. Our employees have access to a wide range of networking events, workshops, and seminars that promote career development and professional growth. These platforms not only enhance your professional skills but also expand your industry connections. Stay Connected Keep up to date with the latest at TD Bank Careers by subscribing to our job alert emails. Tailor your subscription to match your career preferences and get the latest news, insider tips, and job opportunities delivered straight to your inbox. Explore job opportunities at TD Bank and be part of a team that values hard work, creativity, and a diverse workplace culture. Your next great career move is just a click away. SEARCH TD BANK JOBS Join us at TD Bank and let your ambition lead you to a rewarding career filled with opportunities to learn, grow, and innovate.
Learn more about TD Bank
Size
90,000 employees
Market Cap
$117.9 billion
Industry
Finance & Insurance
Net Income
-$6.9 million
5 Year Trend
+6.6%
* Ladders Estimates

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