Senior Compliance Officer – Monitoring and Testing

TD • New York, NY

2d • $110,000 - $135,000

About The Position

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.

Requirements

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

Nice To Haves

• JD desirable but not required

Responsibilities

• 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

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.
• We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees