TD Securities · 1 hour ago
Senior Compliance Officer – Regulatory Initiatives, Policies and Procedures
New York, NY
Full-time
Onsite
Mid, Senior Level
$110K/yr - $135K/yr
5+ years expTD Securities is a company offering a wide range of capital markets products and services. They are seeking a Senior Compliance Officer to provide advice, guidance, and support to business units in adhering to regulatory/compliance requirements and assist in implementing compliance initiatives to help manage regulatory risk.
BankingFinanceFinancial Services
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
Works independently as the senior officer and may coach and educate others
Individual contributor role providing specialized expertise or may lead a small team of specialists
Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators
Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information
Provides day to day interaction and support to Management
Oversees/executes and/or performs tasks from end to end
Focuses on short to mid-term issues (e.g. monthly-quarterly)
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
Bachelors degree or progressive work experience
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
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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