Work Location:
New York, New York, United States of America
Hours:
40
Line of Business:
Compliance
Pay Detail:
$100,000 - $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:
TD Securities is seeking an experienced Senior Compliance Officer to join our Compliance Control Room, focusing on portfolio management of the department's initiatives & programs. The successful hire will assist the Global Control Room Head and the GCR Portfolio Management VP with implementing a program focused on the initiatives below:
- Global Control Room Portfolio Management: Work with the senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.
- Regulatory Responses and Internal Audits: Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including requests for data, and exam inquiries as they relate to Global Control Room.
- Issues Management: Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders.
- Quality Assurances: Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancements.
- Program Enhancements: Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.
- Global Control Room Procedures: Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.
- Compliance Culture: Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices.
- Stakeholder management: Work across teams globally to build effective working relationships across diverse stakeholder groups.
Education & Experience:
- Bachelors degree required: JD or MBA preferred.
- At least 5-7 years of overall work experience, with a minimum of 3 years of relevant banking/finance industry.
- Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations.
- Experience with complex regulatory remediation efforts.
- Experience identifying regulatory risks and issues, and practical solutions to mitigate risk for Compliance Global Control Room.
- Highest personal and professional integrity and standards to advance TD's vision and protect the brand.
- Strong verbal and written communication skills.
- Strategic thinker with excellent judgement able to deliver effectively on project and departmental issues.
- Experience working in a fast-paced environment and managing multiple priorities well.
- Ability to successfully operate in an evolving, sometimes ambiguous, matrixed environment.
- Experience with data visualization tools (e.g. Power BI, Tableau) and advanced Excel skills a plus.
*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)
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 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 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.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
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.
