Compliance Officer, Global Control Room

TD Bank • New York, NY

17d • $75,000 - $95,000

About The Position

TD Securities is seeking an experienced Compliance Officer to join our Compliance Control Room, focusing on portfolio management of the department's initiatives & programs. The successful hire will assist the Global Control Room Head and the GCR Portfolio Management VP with implementing a program focused on the initiatives below: Global Control Room Portfolio Management : Work with the senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestones and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements. Regulatory Responses and Internal Audits: Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquiries and internal audit requests, including requests for data, and exam inquiries as they relate to Global Control Room. Issues Management: Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders. Quality Assurances : Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancements. Program Enhancements : Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function. Global Control Room Procedures: Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately. Compliance Culture: Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices. Stakeholder management: Work across teams globally to build effective working relationships across diverse stakeholder groups.

Requirements

• Bachelor's degree required: JD or MBA preferred.
• At least 3+ years of overall work experience, with a minimum of 2+ years of relevant banking/finance industry.
• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations.
• Experience with complex regulatory remediation efforts.
• Experience identifying regulatory risks and issues, and practical solutions to mitigate risk for Compliance Global Control Room.
• Highest personal and professional integrity and standards to advance TD's vision and protect the brand.
• Strong verbal and written communication skills.
• Strategic thinker with excellent judgement able to deliver effectively on project and departmental issues.
• Experience working in a fast-paced environment and managing multiple priorities well.
• Ability to successfully operate in an evolving, sometimes ambiguous, matrixed environment.

Nice To Haves

• Experience with data visualization tools (e.g. Power BI, Tableau) and advanced Excel skills a plus.

Responsibilities

• Global Control Room Portfolio Management : Work with the senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestones and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.
• Regulatory Responses and Internal Audits: Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquiries and internal audit requests, including requests for data, and exam inquiries as they relate to Global Control Room.
• Issues Management: Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders.
• Quality Assurances : Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancements.
• Program Enhancements : Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.
• Global Control Room Procedures: Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.
• Compliance Culture: Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices.
• Stakeholder management: Work across teams globally to build effective working relationships across diverse stakeholder groups.

Benefits

• Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
• Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
• Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
• You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level