Sr. Compliance Officer - Monitoring & Testing (Associate) - TD Securities (US)

TD • New York, NY

2d • 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. TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Requirements

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

• 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

Benefits

• base salary
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees