Td Bank Sr Compliance Officer - Monitoring & Oversight TD Securities 

United States, New York, New York 

447702575

New York, New York, United States of America

$125,000 - $140,000 USD

Job Description:

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.

Compliance Monitoring & Compliance Oversight

• Assist with developing and overseeing the Compliance Monitoring program.

• Collaborate with colleagues globally to develop and enhance ongoing and potential Monitoring Activities ("MA").

• Evaluate and enhance the viability of Monitoring Activities through scope and sampling alignment; support MA execution improvements; collate document and evidence organization and retention.

• Conduct Quality Assurance for monitoring activity against the enterprise standards.

• Maintain and update procedures and templates as required.

• Assist with the development of the Compliance Oversight program.

• Evaluate and support first line testing efforts through execution of the Oversight framework, reviewing test methodology and execution against enterprise standards.

• Monitor program progress and develop MIS reporting for ongoing tracking and evaluation for both Monitoring and Oversight of the first line testing program.

• Communicate deficiencies to key stakeholders, and exercise credible challenge.

• Support issue management, and support a culture of compliance across the enterprise.

• Participate in, and contribute towards, Monitoring and Oversight working groups and collaborative efforts.

• Participate in special projects as they arise to enhance the overall Core Compliance functions

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

Preferred Qualifications:

• 5 or more years of experience with a registered US broker dealer or regulator.

• JD desirable but not required

• Knowledge of global financial institutions' operational, financial, sales and trading, and regulatory reporting activities and their obligations to applicable rules and regulations.

• Working knowledge of financial industry regulatory landscape.

• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.

• Client service skills – ability to demonstrate sound judgment and closely partner with, and advise, senior managers and other stakeholders.

• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related business 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.

• Demonstrative project management skills and ability to manage multiple work streams simultaneously while engaging with different partners and groups.

• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills.

• A relationship builder with the ability to establish, develop and maintain effective working relationships with global colleagues across the enterprise.

• Proficient in Excel, Word, PowerPoint and SharePoint.

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.