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TD · 3 days ago

Sr. Compliance Officer - Compliance Oversight Program (Associate) - TD Securities (US)

New York, NY

Full-time

Onsite

Mid, Senior Level

$100K/yr - $135K/yr

5+ years exp

TD is a leading provider of capital markets products and services, and they are seeking a Senior Compliance Officer to join their Compliance Monitoring & Testing Team. The role involves developing, implementing, and coordinating the Compliance Oversight program while collaborating with global teams to ensure compliance with regulatory requirements.

BankingFinanceFinancial ServicesWealth Management

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

Compliance OversightRegulatory KnowledgeTestingMonitoringAnalytical SkillsFinancial Product KnowledgeProficient in ExcelProficient in PowerPointProficient in WordProficient in SharePointProject ManagementClient Service SkillsInterpersonal SkillsLeadership SkillsCommunication SkillsTime ManagementAttention to DetailSelf-StarterRelationship Building

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