TD Securities · 1 month ago
Sr. Compliance Officer - Compliance Oversight Program (Associate) - TD Securities (US)
New York, NY
Full-time
Hybrid
Senior Level
$110K/yr - $135K/yr
5+ years expTD Securities is a leading provider of capital markets products and services. The Senior Compliance Officer is responsible for developing, implementing, and coordinating the Compliance Oversight program, ensuring adherence to regulatory requirements and managing compliance initiatives across the organization.
BankingFinanceFinancial Services
Responsibilities
Assist with developing, implementing, and coordinating the Compliance Oversight program, including evaluating program design elements, analyzing Risk Owner testing and monitoring routines contributing to Compliance coverage plans, and enhancing and implementing key program elements
Collaborate with colleagues globally to evaluate and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units for applicable Laws, Rules and Regulations
Evaluate the viability of RO's test and monitoring routines against firmwide standards, procedures and best practices, documenting analysis of test and monitoring coverage, execution methodology, sampling adherence and record creation
Monitor and communicate program effectiveness to stakeholders and senior management to ensure program viability and coverage integrity
Communicate deficiencies to key stakeholders and exercise credible challenge
Maintain and update procedures, templates and tools as required
Assist Compliance testing with test execution that contributes to the overall Compliance Coverage plan
Support issue management and support a culture of compliance across the enterprise
Participate in and contribute towards working groups and collaborative efforts
Participate in special projects as they arise to enhance the overall Core Compliance functions
Qualification
Required
BA/BS, or a similar degree, required
5 or more years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator
Knowledge of global security and derivative products, markets and systems at financial institutions including operational, trading, and deal management practices and activities
Knowledge of financial product laws, rules and regulatory landscape, and a willingness to learn new regulatory areas impacting products, behaviors and market participants
Knowledge of testing or audit concepts and principles, as well as control analysis and evaluation
Excellent interpersonal, organizational, leadership and communication (oral and written) skills
Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships
Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets and 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
Proficient in Excel, Word, PowerPoint and SharePoint
Preferred
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
Benefits
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
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
2026-01-06
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