Compliance Officer, Global Control Room
Yesterday• New York, NY
Work Location:
New York, New York, United States of America
Hours:
40
Line of Business:
Compliance
Pay Detail:
$75,000 - $95,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
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Job Description:
Preferred Qualifications:
TD Securities is seeking an experienced Compliance Officer to join our Compliance Control Room, focusing on portfolio management of the department's initiatives & programs. The successful hire will assist the Global Control Room Head and the GCR Portfolio Management VP with implementing a program focused on the initiatives below:
- Global Control Room Portfolio Management: Work with the senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestones and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.
- Regulatory Responses and Internal Audits: Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquiries and internal audit requests, including requests for data, and exam inquiries as they relate to Global Control Room.
- Issues Management: Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders.
- Quality Assurances: Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancements.
- Program Enhancements: Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.
- Global Control Room Procedures: Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.
- Compliance Culture: Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices.
- Stakeholder management: Work across teams globally to build effective working relationships across diverse stakeholder groups.
Education & Experience:
- Bachelor's degree required: JD or MBA preferred.
- At least 3+ years of overall work experience, with a minimum of 2+ years of relevant banking/finance industry.
- Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations.
- Experience with complex regulatory remediation efforts.
- Experience identifying regulatory risks and issues, and practical solutions to mitigate risk for Compliance Global Control Room.
- Highest personal and professional integrity and standards to advance TD's vision and protect the brand.
- Strong verbal and written communication skills.
- Strategic thinker with excellent judgement able to deliver effectively on project and departmental issues.
- Experience working in a fast-paced environment and managing multiple priorities well.
- Ability to successfully operate in an evolving, sometimes ambiguous, matrixed environment.
- Experience with data visualization tools (e.g. Power BI, Tableau) and advanced Excel skills a plus.
*General Job Description:
The Compliance Officer III supports consumer regulatory compliance functions for the Company and supports the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. Ensures that own work, as well as work of any employees supervised, is in compliance with applicable laws, regulations and guidelines, as detailed in Corporate policies. Acts as a resource to business units/internal team members providing a range of support, guidance and analysis on regulatory/compliance/technology issues. Position will support the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable Federal consumer protection laws and regulations.
Depth & Scope:
- Oversees/contributes to the direction of TDBG compliance programs, ensuring alignment with corporate philosophy and strategic direction while protecting the reputation of the Bank
- Assesses risks and recommends policy and/or action based on internal and external industry developments for area of responsibility
- Works with business unit management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues
- Focuses on compliance strategies/issues with business unit partners and foster the development of a compliance culture
- Assesses the effectiveness of the business management's supervisory program, including conducting research as required to determine benchmarks and/or best practices of other firms
- Conducts/oversees complex analysis and develop recommendations for business/senior management based on findings
- Interprets the impact and advise the business on current and emerging regulatory and compliance issues and industry or market developments to ensure that anticipated regulatory changes are considered within the Business and assist in implementing compliance initiatives to help manage regulatory risk.
Education & Experience:
- Bachelor's degree or progressive work experience in addition to experience below
- 5+ years related experience required
- In depth knowledge of applicable laws and regulations, research skills and presentation skills
- Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that identify and quantify risk as well as present sound solutions taking into account Bank operations and culture
- Strong organizational and time management skills
- Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends
- Ability to communicate effectively with senior level management
- Proven experience in project coordination and ability to work independently
- Ability to use personal computer for word processing and electronic filing and retrieval of documents.
- Strong analytical skills and basic mathematical ability to understand and test disclosures as well as ability to use PC or other equipment to verify data and calculations
- Oversees/executes and/or performs tasks from end to end
- Focuses on short to mid term issues (e.g. monthly-quarterly)
- May coach and educate others on assigned team or within department
- Provides day to day interaction and support to Management
- Travel required. Some extended overnight travel
- Working knowledge of Microsoft Office applications necessary to complete assigned tasks and projects.
- Proficiency using online course development tools and knowledge of HTML coding
- Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends
- Working knowledge of Microsoft Office applications necessary to complete assigned tasks and projects.
Who We Are
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.
Our Total Rewards Package
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. Learn more
Additional Information:
We're delighted that you're considering building a career with TD. 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.
Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. 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.
If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Client-provided location(s): New York, NY
Job ID: TD_bank-R_1471373
Employment Type: FULL_TIME
Posted: 2026-02-11T23:39:51
Perks and Benefits
Health and Wellness
Parental Benefits
Work Flexibility
Office Life and Perks
Vacation and Time Off
Financial and Retirement
Professional Development
Diversity and Inclusion