TD Securities · 6 hours ago
Manager, Compliance Risk Management & Program Operations (US)
New York, NY
Full-time
Onsite
Mid, Senior Level
$91K/yr - $146K/yr
7+ years expTD Securities is a leading global financial institution committed to building a resilient compliance risk management function. The role involves managing day-to-day operations and designing a forward-thinking compliance program, ensuring that compliance structures align with regulatory requirements and organizational needs.
BankingFinanceFinancial Services
Responsibilities
Draft and propose enhancements to reporting documentation, including reporting standard, procedures, job aids, and other documentation to align with regulatory requirements and reporting team's responsibilities, ensuring consistency between documentation, as required
Manage and own the review cycle process for all reporting documentation for timely updates
Ability to document the interaction model between the Reporting team and other stakeholders, ensuring consistency in our approach, responsibilities and interaction with other partners
Support the quality control function by enhancing and building reporting checklist and supporting routines for reviewing quantitative and qualitative board and management reporting information and insights, as required
Support the execution of quality controls on board and management reporting, developing action plans where there are gaps and making sure that gaps are addressed
Provide quality control results to respond to audit requests as required, review responses to audit for consistency, clarity, and quality
Create and conduct training to the reporting team and other teams on updates to reporting standard and procedures, and quality control as required
Continue to enhance reporting documentation, quality control processes, suggest ways to improve our interaction model and explore automation opportunities
Qualification
Required
Undergraduate degree or equivalent work experience
7+ years of experience
Preferred
Minimum of 8 years of experience in Compliance, Risk Management, Audit, or a related compliance role
Strong executive written and verbal communication focused on messaging, clarity, and precision
Proficiency in Microsoft Office Suite - especially Microsoft PowerPoint, Excel, Word, and Visio
Strong stakeholder management skills across different Compliance groups to drive high-quality and accurate reporting insights
Strong analytical and communication skills with the ability to escalate and articulate risks to senior leadership
Exceptional attention to detail, organizational skills, critical thinking and policy drafting skills
Familiarity with data visualization tools including PowerBI and Tableau a plus
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
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