Senior Compliance Officer – Regulatory Initiatives, Policies and Procedures

TD • New York, NY

2d • $110,000 - $135,000

About The Position

This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within U.S. Wholesale Compliance focused on policies and procedures requirements, enhancements and collaborating with business units to manage regulatory risk. 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. Depth & Scope: 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)

Requirements

• BA/BS, or a similar degree, required. JD desirable but not required.
• Willingness to learn new regulatory areas impacting policies, products and market participants
• Experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.
• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues.
• Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations.
• Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills.
• Proficient in Excel, Word, PowerPoint and SharePoint.
• Bachelors degree or progressive work experience
• 5-7 Years of related experience

Responsibilities

• Coordinate with stakeholders globally to build, maintain and enhance best practices for TDS's Compliance policy and procedure program
• Assist in drafting Compliance Department policies and procedures and related communications
• Maintain Compliance Department communications plan
• Review training materials to confirm consistency with policies and procedures
• Serve as a key contact for the policies and procedures systems of record, including managing administrative tasks in coordination with systems of record owners
• Provide a high level of customer service to our internal clients and stakeholders, acting as a point of contact for policy and procedure creation, updates and enhancements
• Support policy related regulatory initiatives, including enhancing policy formatting to conform with regulatory expectations
• Assist with oversight and maintenance of policy portals to ensure data accuracy and integrity
• Assist with ensuring policy update schedules are met, including responding to status requests for policy updates
• Participate in special projects as needed

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