TD · 4 hours ago
Senior Compliance Officer – Regulatory Initiatives, Policies and Procedures
New York, New York
Full-time
Onsite
Mid, Senior Level
$110K/yr - $135K/yr
5+ years expTD Securities is a leading provider of capital markets products and services, and they are seeking a Senior Compliance Officer to join their Regulatory Initiatives Team. This role involves coordinating with stakeholders to enhance compliance policies and procedures, providing guidance to business units, and managing regulatory risks.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Coordinate with stakeholders globally to build, maintain and enhance best practices for TDS's Compliance policy and procedure program
Assist in drafting Compliance Department policies and procedures and related communications
Maintain Compliance Department communications plan
Review training materials to confirm consistency with policies and procedures
Serve as a key contact for the policies and procedures systems of record, including managing administrative tasks in coordination with systems of record owners
Provide a high level of customer service to our internal clients and stakeholders, acting as a point of contact for policy and procedure creation, updates and enhancements
Support policy related regulatory initiatives, including enhancing policy formatting to conform with regulatory expectations
Assist with oversight and maintenance of policy portals to ensure data accuracy and integrity
Assist with ensuring policy update schedules are met, including responding to status requests for policy updates
Participate in special projects as needed
Qualification
Required
BA/BS, or a similar degree, required
Willingness to learn new regulatory areas impacting policies, products and market participants
Experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator
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 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
Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction
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
5-7 Years of related experience
Preferred
JD desirable but not required
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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