Senior Compliance Officer – CIB Credit Compliance, TD Securities

TD Bank•New York, NY

3d•Onsite

About The Position

CIB Credit Compliance plays an important control and oversight role within TD Securities’ Corporate and Investment Banking (CIB) Credit function, supporting deal setup, covenant monitoring, compliance reporting, exception management, and audit/regulatory readiness across the global corporate lending portfolio. The successful candidate will report to the Head of Credit Compliance, CIB Credit, located in New York, and will work closely with CIB Credit teams, Corporate Lending Operations, and other internal stakeholders to support accurate, timely, and well-controlled credit compliance processes.

Requirements

Strong organizational skills with excellent attention to detail and the ability to manage multiple priorities, time-sensitive requests, and recurring reporting cycles.
Demonstrated ability to review credit agreements, reporting covenants, and related lending documentation with accuracy and sound judgment.
Experience supporting compliance monitoring, exception management, audit responses, regulatory reviews, or control processes within a financial institution.
Strong written and verbal communication skills, including the ability to coordinate with lending teams, operations partners, risk management stakeholders, and external agent banks.
Proactive approach to identifying and escalating issues, resolving outstanding items, and supporting sustainable process improvements.
Strong analytical, problem-solving, relationship management, and follow-up skills.
Ability to operate effectively in a large, complex, matrixed organization and adapt quickly to changing requirements, priorities, and stakeholder needs.
Demonstrated interpersonal, conflict resolution, and negotiation skills, with the ability to influence outcomes through collaboration.

Nice To Haves

Experience with LoanIQ, credit documentation, covenant tracking, or corporate lending operations considered an asset.
Relevant experience in corporate banking, credit risk, lending operations, compliance, or audit at a financial institution.

Responsibilities

Receive and review new deal forms, credit agreements, and related documentation to identify reporting covenants and compliance requirements needed for deal setup and ongoing monitoring.
Create and maintain LoanIQ profiles to capture reporting requirements for the global corporate lending portfolio and support downstream compliance monitoring processes.
Monitor the receipt, distribution, and return of compliance packages, including maintaining reporting and updating portfolio lists for new deals, cancellations, and other relevant changes.
Investigate outstanding compliance items, coordinate with agent banks and deal teams, and support timely resolution of exceptions identified through monthly and quarterly compliance reporting processes.
Provide outstanding compliance items to external third party to upload and assist with queries during the quarterly review process.
Reconcile LoanIQ outputs prior to distribution of the monthly compliance exception report and support follow-up with lending teams for account updates, new deal forms, and documentation audit requirements.
Investigate and work with credit teams to provide outstanding items to Corporate Lending Operations in connection with the quarterly non-negotiable exception report.
Maintain online storage for compliance and legal documentation, ensuring records are complete, organized, and available to support internal controls, audit, and regulatory reviews.
Interact regularly with CIB Credit teams, Corporate Lending Operations and other stakeholders to support compliance monitoring, issue resolution, and process execution.
Assist with internal audits, regulatory examinations, control reviews, evidence gathering, and related responses involving CIB Credit processes.
Identify opportunities to improve compliance tracking, reporting workflows, documentation practices, and controls supporting the credit compliance framework.

Benefits

Base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
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
Reward and recognition
Training programs
Online learning platform
Mentoring programs