Sr. Compliance Officer Monitoring & Testing (Associate), TD Securities (US) at TD Bank

Work Location:New York New York United States of AmericaHours:40Line of Business:CompliancePay Detail:$100000 - $130000 USDTD 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 candidates 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 Senior Compliance Officer is a key member of the TDS 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 TestingAssist with developing and executing the annual Compliance Testing and Monitoring planDetermine scope of reviews; build detailed review steps; organize documentary evidence of reviewExecute testing engagements and prepare reports to document exceptions and action plansCommunicate deficiencies to the business and key stakeholders and exercise credible challenge.Oversee remediation of gaps identified in the testing processBuild relationships with key stakeholders globallyAssist in identifying areas for enhanced Monitoring Testing or trainingCore ComplianceDevelop Testing and Monitoring metrics and contribute to department reportingSupport issues management development and tracking of Compliance-identified findingsSupport the development of a rules inventory that covers rules and regulations applicable to TDS businessesParticipate in special projects as they arise to enhance compliance functionsWork closely with other support functions and the business areas to support a culture of compliance across the firmContribute as needed to annual compliance training requirements and regulatory change impact assessmentsEducation & Experience:Bachelors degree or progressive work experience5-7 Years of related experienceJD desirable but not requiredKnowledge 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 PowerPointWho 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 6500 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 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 PackageOur 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 moreAdditional Information:Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.Colleague Development If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.Training & OnboardingWe will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.Interview Process Well 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 . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.Required Experience:Senior IC Key Skills Compliance Management,Risk Management,Financial Services,PCI,Banking,Cost Accounting Standards,Quality Systems,Research Experience,NIST Standards,Securities Law,SOX,ISO 27000 Employment Type : Full-Time Experience: years Vacancy: 1 Monthly Salary Salary: 100000 - 130000