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

TD•New York, NY

6d•$100,000 - $135,000•Onsite

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.

Requirements

BA/BS, or a similar degree, 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

JD desirable but not required
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.
Client service skills – ability to demonstrate sound judgment and closely partner with, and advise, senior managers and other stakeholders.
A relationship builder with the ability to establish, develop and maintain effective working relationships with global colleagues across the enterprise.

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.