Work Location:
New York, New York, United States of America
Hours:
40
Line of Business:
Compliance
Pay Detail:
$110,000 - $135,000 USD
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.
Job Description:
Preferred Qualifications:
This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within U.S. Wholesale Compliance focused on policies and procedures requirements, enhancements and collaborating with business units to manage regulatory risk.
Depth & Scope
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
Education & Experience
BA/BS, or a similar degree, required.
JD desirable but not 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.
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)
Education & Experience:
- Bachelors degree or progressive work experience
- 5-7 Years of related experience
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 help clients meet their needs today and prepare for tomorrow. 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. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
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 benefits and discounts, career development, and reward and recognition. Learn more
Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
