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TD · 4 months ago

Compliance Officer, Regulatory Relations Core Compliance

New York, NY

Full-time

Onsite

Mid, Senior Level

$75K/yr - $95K/yr

5+ years exp

TD is a company that offers a wide range of capital markets products and services. They are seeking a Compliance Officer within Regulatory Relations Core Compliance to assist in the development and execution of core compliance programs and manage relationships with US regulators.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Assist with the coordination of examinations and inquiries by regulators covering various businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators

Communicate with regulators and internal stakeholders regarding regulatory issues, findings by the regulators, and remediation related to those findings

Work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests

Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings

Assist with the management and tracking of regulatory inquiries

Assist with monthly and ad hoc Compliance reporting

Support the development of US policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of the US

Assist in the ongoing enhancement of Core Compliance processes

Participate in enterprise-wide special projects

Assist the broader Compliance team with special projects as needed

Qualification

Regulatory compliance experienceAnalytical skillsCommunication skillsProject coordinationMicrosoft Office proficiencyProblem solving skillsAttention to detailOrganizational skillsTime management skillsRelationship building

Required

BA/BS, or a similar degree required

2 years of experience with a registered US broker dealer or regulator

Problem solving skills and the ability to work independently

Strong oral and written communication skills

Ability to build and maintain professional relationships with internal and external parties

Produce high quality output timely and accurately

Strong technology skills including Word, PowerPoint and Excel

Attentiveness to detail and ability to work independently

Bachelor's degree or progressive work experience in addition to experience below

5+ years related experience required

In depth knowledge of applicable laws and regulations, research skills and presentation skills

Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that identify and quantify risk as well as present sound solutions taking into account Bank operations and culture

Strong organizational and time management skills

Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends

Ability to communicate effectively with senior level management

Proven experience in project coordination and ability to work independently

Ability to use personal computer for word processing and electronic filing and retrieval of documents

Strong analytical skills and basic mathematical ability to understand and test disclosures as well as ability to use PC or other equipment to verify data and calculations

Oversees/executes and/or performs tasks from end to end

Focuses on short to mid term issues (e.g. monthly-quarterly)

May coach and educate others on assigned team or within department

Provides day to day interaction and support to Management

Travel required. Some extended overnight travel

Working knowledge of Microsoft Office applications necessary to complete assigned tasks and projects

Proficiency using online course development tools and knowledge of HTML coding