Senior Compliance Officer, Communications Trade Surveillance

Work Details

Location: New York, New York, United States of America

Hours: 40 per week

Line of Business: Compliance

Pay Range: $120,000 – $145,000 USD base salary. TD is committed to fair and equitable compensation; the actual offer may vary based on skills, experience, job-related knowledge, geographic location, and business needs. Colleagues progress through the range over time as they develop in the role. Candidates are encouraged to discuss compensation details with their recruiter.

About the Role

The TD Securities US Compliance team is seeking an Associate-level candidate to join the Trade Surveillance team focused on Communications. The Senior Compliance Officer provides advice, guidance, and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to manage regulatory risk.

Key Accountabilities

• Consistently exercise discretion in managing correspondence, information, and all matters of confidentiality; escalate issues where appropriate
• Be knowledgeable of practices and procedures within the area of responsibility and keep abreast of emerging trends
• Protect the interests of the organization — identify and manage risks, escalate non-standard, high-risk activities as necessary
• Conduct reporting and/or meaningful analysis at the functional or enterprise level, using results to draw conclusions, make recommendations, and assess the effectiveness of programs, policies, and practices
• Monitor service, productivity, and assess efficiency levels within own function and implement continuous process/performance improvements where opportunities exist
• Acquire and apply expertise in the discipline, provide guidance and direction to others
• Identify, recommend, and effectively execute standard practices applicable to the discipline
• Adhere to internal policies/procedures and applicable regulatory guidelines
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain a culture of risk management and control supported by effective processes aligned with risk appetite

Stakeholder Engagement

• Familiarize with key stakeholders including front office teams, and support functions such as Technology and Operations
• Build relationships with the Compliance Advisory team and Control Room by working closely on regulatory requests and alert escalations
• Coordinate requests to and from business (Compliance) partners and coordinate tracking and reporting on Compliance initiatives and programs
• Prepare summaries, communications, reports, and presentations for management, regulators, and other internal and external stakeholders
• Proactively identify matters requiring additional review or escalation and liaise with appropriate staff to resolve

Team & Culture

• Participate fully as a team member, support a positive work environment that promotes service, quality, innovation, and teamwork; ensure timely communication and escalation of issues
• Network with colleagues in Global Surveillance and