Apply on Employer Site

TD · 1 month ago

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

New York, NY

Full-time

Onsite

Senior Level

$100K/yr - $135K/yr

5+ years exp

TD is a leading capital markets provider, and they are seeking a Senior Compliance Officer to join their Compliance Monitoring and Testing Team. The role involves developing and executing compliance testing plans, overseeing remediation processes, and building relationships with key stakeholders to enhance compliance functions across the organization.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

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

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

Qualification

Compliance MonitoringRegulatory ReportingAnalytical SkillsProject ManagementClient Service SkillsProficient in WordProficient in ExcelProficient in PowerPointInterpersonal SkillsCommunication SkillsAttention to Detail

Required

Bachelors degree or progressive work experience

5-7 Years of related experience

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