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

TD · New York, NY · 1 wk ago
On-siteLegal$100k–$130k/yrFull-time

About the role

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.

Responsibilities

  • Develop and execute 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
  • Aid in identifying areas for enhanced Monitoring, Testing or training

Requirements

  • 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

Qualifications

  • Education: BA/BS, or a similar degree, required
  • Experience: 5 or more years of experience with a registered US broker dealer or regulator

Skills

  • Compliance monitoring and testing
  • Testing and monitoring metrics development
  • Issues management development and tracking
  • Rules inventory development
  • Special projects support
  • Collaboration with business partners, auditors, and regulators
  • Client service and relationship building
  • Project management
  • Time management and planning
  • Interpersonal and communication skills
  • Analytical and problem-solving skills
  • Attention to detail
  • Solid judgment
  • Leadership and organizational skills

Benefits

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.

Pay

$100,000 - $130,000 USD

Schedule

40 hours per week

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