TD Securities · 1 day ago
Senior FCRM Compliance Officer - Prime Brokerage Oversight
New York, NY
Full-time
Onsite
Mid, Senior Level
$100K/yr - $115K/yr
5+ years expTD Securities is a leading capital markets provider, and they are seeking a Senior FCRM Compliance Officer to support their financial crime risk management program. The role involves developing and maintaining compliance frameworks, providing guidance on regulatory compliance, and partnering with various business units to mitigate financial crime risks.
BankingFinanceFinancial Services
Responsibilities
Design, implement, enhance and maintain the TDS U.S. FCRM program
Advise TDS Operations and other 1st line support functions on interpretation of and compliance with applicable financial crime laws, regulations, and guidance
Provide oversight of, and credible challenge to, the first line of defense
Provide customized training and to ensure that employees remain informed about changes in financial crime regulations and emerging money laundering typologies
Assess and opine on financial crime risks of new products and mandates
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
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
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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
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