TD · 2 months ago
Senior FCRM Compliance Officer - Prime Brokerage Oversight
New York, New York
Full-time
Onsite
Mid, Senior Level
$100K/yr - $115K/yr
5+ years expTD Securities is committed to providing a robust financial crime risk management program that meets regulatory requirements. The Senior FCRM Compliance Officer will support the FCRM program, advise on compliance with financial crime laws, and oversee risk management activities for the U.S. Prime Brokerage business.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Demonstrate governance, control and risk management behaviors aligned with TD policies and practices
Support oversight activities for the US Prime Brokerage business, including new business and product initiatives, customers and transactions
Develop working relationships with line of business and operational support partners by providing oversight guidance on various issues
Timely recognition of issues or concerns requiring escalation
Assist with onboarding inquiries for prospective US Prime Brokerage customers
Where required, advise Investigations' reviews of potentially suspicious activity, providing subject-matter knowledge to support the investigations process
Gain working knowledge of other business lines within the TDS space
Participate in the annual enterprise-wide AML/BSA/Sanctions/ABAC risk assessment process, as required
Conduct targeted AML/OFAC training, as appropriate
Conduct periodic testing of AML functions as mandated by the Periodic AML Testing Program
Participate in special projects, including assisting with adherence to enterprise-wide initiatives including global policies and governance
Assist with regulatory and audit requests
Provide backup to general AML compliance functions such as surveillance reviews, section 312 reviews and TD affiliates due diligence reviews
Complete all tasks within required timeframes
Qualification
Required
Bachelor's degree required (exceptional candidates demonstrating an equivalent combination of relevant education and experience will be considered)
5 to 7 years of knowledge and experience in FCRM compliance, preferably within the prime brokerage division of a large financial institution
Strong verbal and written communicator with detailed oriented nature
Strong subject matter knowledge of compliance risks and controls for a financial institution; focus on Anti-Money Laundering compliance
Ability to identify and evaluate potential risks to the Firm and escalate accordingly
Project management and strategic thinking skills
Proficiency with Microsoft Word, Excel and PowerPoint
Preferred
Working knowledge of one or more sanctions screening and AML surveillance applications is desirable
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
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
Senior Vice President Technology and Data Risk Management
Recent News
2026-01-24
2026-01-24
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