Work Location:
New York, New York, United States of America
Hours:
40
Line of Business:
Compliance
Pay Detail:
$125,000 - $140,000 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:
The Senior Compliance Office 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.
Compliance Monitoring & Compliance Oversight
- Assist with developing and overseeing the Compliance Monitoring program.
- Collaborate with colleagues globally to develop and enhance ongoing and potential Monitoring Activities ("MA").
- Evaluate and enhance the viability of Monitoring Activities through scope and sampling alignment; support MA execution improvements; collate document and evidence organization and retention.
- Conduct Quality Assurance for monitoring activity against the enterprise standards.
- Maintain and update procedures and templates as required.
- Assist with the development of the Compliance Oversight program.
- Evaluate and support first line testing efforts through execution of the Oversight framework, reviewing test methodology and execution against enterprise standards.
- Monitor program progress and develop MIS reporting for ongoing tracking and evaluation for both Monitoring and Oversight of the first line testing program.
- Communicate deficiencies to key stakeholders, and exercise credible challenge.
- Support issue management, and support a culture of compliance across the enterprise.
- Participate in, and contribute towards, Monitoring and Oversight working groups and collaborative efforts.
- Participate in special projects as they arise to enhance the overall Core Compliance functions
Depth & Scope:
- 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)
Education & Experience:
- Bachelors degree or progressive work experience
- 5-7 Years of related experience
Preferred Qualifications:
- 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.
Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel - Occasional
- International Travel - Never
- Performing sedentary work - Continuous
- Performing multiple tasks - Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds - Occasional
- Sitting - Continuous
- Standing - Occasional
- Walking - Occasional
- Moving safely in confined spaces - Occasional
- Lifting/Carrying (under 25 lbs.) - Occasional
- Lifting/Carrying (over 25 lbs.) - Never
- Squatting - Occasional
- Bending - Occasional
- Kneeling - Never
- Crawling - Never
- Climbing - Never
- Reaching overhead - Never
- Reaching forward - Occasional
- Pushing - Never
- Pulling - Never
- Twisting - Never
- Concentrating for long periods of time - Continuous
- Applying common sense to deal with problems involving standardized situations - Continuous
- Reading, writing and comprehending instructions - Continuous
- Adding, subtracting, multiplying and dividing - Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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 help clients meet their needs today and prepare for tomorrow. 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. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
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.