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:

Department Overview:

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients. This is accomplished by:

• 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

Depth & Scope

• 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

Proficiency requirements and skills:

• 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

Other Qualifications/Skills/Experience:

• 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

Education:

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

*General 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.

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

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 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.