Sr. Compliance Officer - Compliance Oversight Program (Associate) - TD Securities (US)

TD Bank • New York, NY

12d • $110,000 - $135,000

About The Position

This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, implementing and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance coverage plan. The M&T Team sits within Core Compliance and covers the TDS US and global businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed. Compliance Oversight Program Depth & Scope: Assist with developing, implementing, and coordinating the Compliance Oversight program, including evaluating program design elements, analyzing Risk Owner testing and monitoring routines contributing to Compliance coverage plans, and enhancing and implementing key program elements. Collaborate with colleagues globally to evaluate and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units for applicable Laws, Rules and Regulations. Evaluate the viability of RO's test and monitoring routines against firmwide standards, procedures and best practices, documenting analysis of test and monitoring coverage, execution methodology, sampling adherence and record creation. Monitor and communicate program effectiveness to stakeholders and senior management to ensure program viability and coverage integrity. Communicate deficiencies to key stakeholders and exercise credible challenge. Maintain and update procedures, templates and tools as required. Assist Compliance testing with test execution that contributes to the overall Compliance Coverage plan. Support issue management and support a culture of compliance across the enterprise. Participate in and contribute towards working groups and collaborative efforts. Participate in special projects as they arise to enhance the overall Core Compliance functions. The Senior Compliance Officer 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. JD desirable but not required
• 5 or more years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.
• Knowledge of global security and derivative products, markets and systems at financial institutions including operational, trading, and deal management practices and activities.
• Knowledge of financial product laws, rules and regulatory landscape, and a willingness to learn new regulatory areas impacting products, behaviors and market participants.
• Knowledge of testing or audit concepts and principles, as well as control analysis and evaluation.
• 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 and business 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.
• Demonstrative project management skills and ability to manage multiple work streams simultaneously while engaging with different partners and groups.
• 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

Nice To Haves

• 5 or more years of experience with a registered US broker dealer or regulator.
• JD desirable but not required
• Knowledge of global financial institutions' operational, financial, sales and trading, and regulatory reporting activities and their obligations to applicable rules and regulations.
• Working knowledge of financial industry regulatory landscape.
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Client service skills – ability to demonstrate sound judgment and closely partner with, and advise, senior managers and other stakeholders.
• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related business 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.
• Demonstrative project management skills and ability to manage multiple work streams simultaneously while engaging with different partners and groups.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills.
• A relationship builder with the ability to establish, develop and maintain effective working relationships with global colleagues across the enterprise.
• Proficient in Excel, Word, PowerPoint and SharePoint.

Responsibilities

• Assist with developing, implementing, and coordinating the Compliance Oversight program, including evaluating program design elements, analyzing Risk Owner testing and monitoring routines contributing to Compliance coverage plans, and enhancing and implementing key program elements.
• Collaborate with colleagues globally to evaluate and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units for applicable Laws, Rules and Regulations.
• Evaluate the viability of RO's test and monitoring routines against firmwide standards, procedures and best practices, documenting analysis of test and monitoring coverage, execution methodology, sampling adherence and record creation.
• Monitor and communicate program effectiveness to stakeholders and senior management to ensure program viability and coverage integrity.
• Communicate deficiencies to key stakeholders and exercise credible challenge.
• Maintain and update procedures, templates and tools as required.
• Assist Compliance testing with test execution that contributes to the overall Compliance Coverage plan.
• Support issue management and support a culture of compliance across the enterprise.
• Participate in and contribute towards working groups and collaborative efforts.
• Participate in special projects as they arise to enhance the overall Core Compliance functions.
• Provide advice, guidance and support to business units in adhering to regulatory/compliance requirements
• Assist in implementing compliance initiatives to help manage regulatory risk

Benefits

• 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
• Number of Employees: 5,001-10,000 employees