TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
*Preferred Qualifications:
This Senior Compliance Officer is a key member of the TD Securities - US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed.
Depth & Scope:
Compliance Monitoring and Testing
Assist with developing and executing the annual Compliance Testing and Monitoring plan
Determine scope of reviews; build detailed review steps; organize documentary evidence of review
Execute testing engagements, and prepare reports to document exceptions and action plans
Communicate deficiencies to the business and key stakeholders, and exercise credible challenge.
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Oversee remediation of gaps identified in the testing process
Build relationships with key stakeholders globally
Assist in identifying areas for enhanced Monitoring, Testing or training
Core Compliance
Develop Testing and Monitoring metrics, and contribute to department reporting
Support issues management development and tracking of Compliance-identified findings
Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
Participate in special projects as they arise to enhance compliance functions
Work closely with other support functions and the business areas to support a culture of compliance across the firm
Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments
Education & Experience:
BA/BS or a similar degree required. JD degree desirable, but not required
5 or more years of relevant experience in Compliance Testing or Audit within a registered US broker dealer or regulator, with a focus on capital markets or investment bank (wholesale banking).
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
Project management skills and ability to manage multiple work streams involving different partners and groups.
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
Proficient in Word, Excel and PowerPoint
*General Job Description
The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.
Depth & Scope:
- 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)
- Operating standard office equipment - Continuous
- Responding quickly to sounds – Occasional
- Sitting – Continuous
- Standing – Occasional
- Walking – Occasional
- Moving safely in confined spaces – Occasional
- Lifting/Carrying (under 25 lbs.) – Occasional
- Lifting/Carrying (over 25 lbs.) – Never
- Squatting – Occasional
- Bending – Occasional
- Kneeling – Never
- Crawling – Never
- Climbing – Never
- Reaching overhead – Never
- Reaching forward – Occasional
- Pushing – Never
- Pulling – Never
- Twisting – Never
- Concentrating for long periods of time – Continuous
- Applying common sense to deal with problems involving standardized situations – Continuous
- Reading, writing and comprehending instructions – Continuous
- Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.
Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking ben
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