TD Securities · 2 weeks ago
Compliance Risk Assessment Lead
New York, NY
Full-time
Onsite
Senior Level, Lead/Staff, Director/Executive
$115K/yr - $186K/yr
10+ years expTD Securities is one of the world's leading global financial institutions, committed to building a resilient compliance risk management function. The Compliance Risk Assessment Lead will manage and facilitate the U.S. Compliance Risk Assessment, ensuring regulatory compliance risks and internal controls are identified and assessed, while also providing leadership and subject matter expertise to stakeholders.
BankingFinanceFinancial Services
Responsibilities
Serve as Compliance lead for managing and facilitating the U.S. Compliance Risk Assessment, reporting to the U.S. Head of Compliance Programs
Manage the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities
Assist the Head of Compliance programs with facilitating the Compliance Risk Assessment and manage the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages
Provide subject matter expertise and leadership to Oversight Functions and other assessment participants and serve as single point of contact for stakeholders on assessment methodology, guidance, and applicable leading practices
Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans
Support the review and interpretation of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge
Drive program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
Possesses strong functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services. Additionally, a risk management / internal control mindset to apply and assess risk identification / mitigation is essential
Qualification
Required
Undergraduate degree or equivalent work experience
10+ years of experience
Minimum of 10 years of prior regulatory, compliance, and/or risk management experience
Experience conducting a Compliance Risk Assessment
Experience working with top tier banks in large scale, cross-functional regulatory remediation
Experience with developing and implementing regulatory compliance risk management frameworks and programs, including Compliance Risk Assessment and regulatory controls management
Strong knowledge of laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses
Excellent written, verbal and analytical skills
Highly motivated, strong attention to detail, team oriented, organized
Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior level
Ability to work collaboratively with cross functional partners across the three lines of defense
Ability to navigate a complex organization
Demonstrates advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite
Preferred
Experience with regulatory Issue Management, Compliance Monitoring & Testing and governance of Compliance documentation
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
2026-01-14
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