Senior Compliance Officer, Control Room, Compliance

Work Location:
New York, New York, United States of America

Hours:
40

Line of Business:
Compliance

Pay Detail:
$110,000 - $135,000 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.

Job Description:

Preferred Qualifications:

• Conducting monitoring and surveillance
• Providing training and education
• Liaising with regulators
• Promoting a compliance culture within the firm
• Taking preventative measures to ensure compliance with the rules and regulations
• Reviewing new business opportunities, such as new products or markets from a compliance perspective

• Maintain the Grey List and Restricted List and advise on information barrier issues
• Provide compliance coverage for the Control Room as well as all private side business within TD Securities including Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity Capital Markets), Global Credit and Debt Capital Markets
• Assist with collaborating with Investment Banking, Global Credit and Equity Capital Markets personnel Globally in evaluating transactions to determine securities for inclusion on the Grey List or Restricted Lists
• Compliance and real time support and advice to business areas within Investment Banking (which includes Mergers & Acquisitions, Corporate Finance and Equity Capital Markets), Global Credit and Debt Capital Markets including real-time deal flow
• Responsible for reviewing and resolving the escalation of research related issues as they relate to Investment Banking transactions and potential restrictions
• Responsible for monitoring communications including electronic and video communications within Investment Banking and other dealer groups in line with regulatory requirements and objectives
• Chaperone certain business activities between Equity Research and Investment Banking and ensure groups are conducting business activities independently
• Assist in the development of the compliance testing program with operational procedures to address internal TD policies and industry best practices
• Maintain and enhance policies and procedures within the group
• Provide guidance, advice and rule interpretation to the business lines and leaders, often without advance notice
• Provide guidance and education on regulatory and internal policy to TD Securities management and staff using both formal and informal training methods
• Identify compliance related issues and escalate issues identified to business unit management and monitoring for resolution
• Identify compliance requirements as per legislation, policies, self-regulatory by-laws and rulings that relate to the distribution of securities and maintaining testing documentation and records
• Respond to inquiries from regulators
• Projects as assigned
• Implement and enhance policies and procedures
• Foster a cooperative working relationship with our business unit partners and key regulators
• Participate in industry forums and committees where applicable

• Have a diverse range of financial products knowledge and working knowledge of market rules and regulations
• Thorough knowledge of the securities industry and operations of the capital markets
• Ability to think critically and make decisions
• Excellent communication skills, both written and oral
• Ability to deal with staff and management at all levels in TD Securities and TDBG
• Ability to work under pressure and meet deadlines
• Strong personal integrity in dealing with confidential and sensitive information

• Ability to understand, analyze, interpret and apply regulation in an operational context in an environment that is ever changing and has competing priorities
• Ability to manage and prioritize multiple projects, many with tight deadlines
• Ability to work independently and as part of a team yet understand when matters need to be escalated to senior management

• University degree
• Minimum 5 years compliance/industry experience in a senior position within a bank owned dealer

• 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)

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