Sr. Compliance Officer - Monitoring & Testing (Associate) - TD Securities (US)

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

$100,000 - $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 This 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 Bachelors degree or progressive work experience 5-7 Years of related experience 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 the judgment and 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 EEO Statement 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. Accommodation Statement 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 View email address on click.appcast.io. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. #J-18808-Ljbffr TD