Td Bank Senior Compliance Officer - Issues Management & Program Reporting 

United States, New York, New York 

232344601

New York, New York, United States of America

$100,000 - $140,000 USD

Depth & Scope:

Issues Management and Program Reporting

• Facilitate the TD Securities US Issues Management process, to include Issue logging, reporting, and escalations using our internal issues management tool.
• Maintain the new Issues Management dashboard, which is intended to provide insights into ongoing Issues statuses, trends and themes, and escalations.
• Manage the reporting deliverables related to Compliance-tracked Issues and ensure timely reminders and tracking of issues to closure.
• Work with Central Issues Management team to remediate any issues identified during QA.
• Participate in UAT testing for new program / system implementations or enhancements to the Issue Management system.
• Partner with Compliance teams to aid with Issue entry and workflow.
• Develop the team SharePoint to serve as a robust Knowledge Management platform and source.
• Support documentation efforts across the Team to drive consistency of materials and the maintenance of up-to-date policies and procedures.
• Participate in
  ad hoc
  special projects.

Education & Experience:

• BA/BS, or a similar degree, required.
• Strong technical skills, especially with Microsoft Office Suite (Excel, Access, PowerPoint, Word, Visio)
• Data visualization (e.g., Tableau, Qlikview, etc.), a plus.
• 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.
• 3 or more years of experience with a registered US broker dealer or regulator.
• Knowledge of wholesale banking products and services, operations, regulatory frameworks (e.g., applicable rules and regulations), and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, 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.
• 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.

The Senior Compliance Office provides advice, guidance and support to business units in adhering toregulatory/compliancerequirements 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)

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.

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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.