Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)

Work Location New York, New York, États-Unis d'Amérique Hours 40 hours per week Line Of Business Conformité Pay Detail

$100,000 - $130,000 USD

Job Description 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. Depth & Scope Compliance Monitoring and Testing 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 Core Compliance 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 Education & Experience BA/BS, or a similar degree, required 5 or more years of experience with a registered US broker dealer or regulator JD desirable but not required 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 judgment and the 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 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 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. For applicants with a disability requiring accommodations, please email TD Bank US Workplace Accommodations Program at View email address on click.appcast.io with your full name, best contact method, and the accommodation needed to assist you with the application process. #J-18808-Ljbffr TD