Senior Compliance Officer - Regulatory Initiatives, Policies and Procedures

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  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…