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

TD•New York, NY

42d•$100,000 - $130,000•Onsite

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. 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.

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
Bachelors degree or progressive work experience
5-7 Years of related experience

Nice To Haves

JD desirable but not required

Responsibilities

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
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
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)