Td Bank Compliance Officer Regulatory Relations Core United States, New York, New York 389588843
Share
Job Description:
The Compliance Officer within Regulatory Relations Core Compliance assists in the development and execution of core compliance programs and processes and helps manage the various relationships with our US regulators.
Responsibilities:
- Assist with the coordination of examinations and inquiries by regulators covering various businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators.
- Communicate with regulators and internal stakeholders regarding regulatory issues, findings by the regulators, and remediation related to those findings.
- Work with the relevant businesses and functions to obtaininformation/documentationto respond to regulatory requests.
- Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.
- Assist with the management and tracking of regulatory inquiries.
- Assist with monthly and ad hoc Compliance reporting.
- Support the development of US policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of the US.
- Assist in the ongoing enhancement of Core Compliance processes.
- Participate in enterprise-wide special projects.
- Assist the broader Compliance team with special projects as needed.
Qualifications:
- BA/BS, or a similar degree required.
- 2 years of experience with a registered US broker dealer or regulator.
- Problem solving skills and the ability to work independently.
- Strong oral and written communication skills.
- Ability to build and maintain professional relationships with internal and external parties.
- Produce high quality output timely and accurately.
- Strong technology skills including Word, PowerPoint and Excel.
- Attentiveness to detail and ability to work independently.
Depth & Scope:
- Oversees/contributes to the direction of TDBG compliance programs, ensuring alignment with corporate philosophy and strategic direction while protecting the reputation of the Bank
- Assesses risks and recommends policy and/or action based on internal and external industry developments for area of responsibility
- Works with business unit management/partners to develop proactive strategies, tactics, policies and programs to effectively manageregulatory/complianceissues
- Focuses on compliance strategies/issues with business unit partners and foster the development of a compliance culture
- Assesses the effectiveness of the business management’s supervisory program, including conducting research as required to determine benchmarks and/or best practices of other firms
- Conducts/oversees complex analysis and develop recommendations for business/senior management based on findings
- Interprets the impact and advise the business on current and emerging regulatory and compliance issues and industry or market developments to ensure that anticipated regulatory changes are considered within the Business and assist in implementing compliance initiatives to help manage regulatory risk.
Education & Experience:
- Bachelor’s degree or progressive work experience in addition to experience below
- 5+ years related experience required
- In depth knowledge of applicable laws and regulations, research skills and presentation skills
- Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that identify and quantify risk as well as present sound solutions taking into account Bank operations and culture
- Strong organizational and time management skills
- Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends
- Ability to communicate effectively with senior level management
- Proven experience in project coordination and ability to work independently
- Ability to use personal computer for word processing and electronic filing and retrieval of documents.
- Strong analytical skills and basic mathematical ability to understand and test disclosures as well as ability to use PC or other equipment to verify data and calculations
- Oversees/executes and/or performs tasks from end to end
- Focuses on short to mid term issues (e.g. monthly-quarterly)
- May coach and educate others on assigned team or within department
- Provides day to day interaction and support to Management
- Travel required. Some extended overnight travel
- Working knowledge of Microsoft Office applications necessary to complete assigned tasks and projects.
- Proficiency using online course development tools and knowledge of HTML coding
- Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends
- Working knowledge of Microsoft Office applications necessary to complete assigned tasks and projects.
Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel – Occasional
- International Travel – Never
- Performing sedentary work – Continuous
- Performing multiple tasks – Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds – Occasional
- Sitting – Continuous
- Standing – Occasional
- Walking – Occasional
- Moving safely in confined spaces – Occasional
- Lifting/Carrying (under 25 lbs.) – Occasional
- Lifting/Carrying (over 25 lbs.) – Never
- Squatting – Occasional
- Bending – Occasional
- Kneeling – Never
- Crawling – Never
- Climbing – Never
- Reaching overhead – Never
- Reaching forward – Occasional
- Pushing – Never
- Pulling – Never
- Twisting – Never
- Concentrating for long periods of time – Continuous
- Applying common sense to deal with problems involving standardized situations – Continuous
- Reading, writing and comprehending instructions – Continuous
- Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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.
These jobs might be a good fit
