Compliance Officer

3 days ago

New York, New York, United States TD Bank Full time
Job Summary

We are seeking a highly skilled Compliance Officer to join our team at TD Bank. As a key member of our Compliance Monitoring and Testing Team, you will play a critical role in ensuring the integrity of our compliance program.

Key Responsibilities
  • Execute the annual Compliance testing and monitoring plan
  • Lead testing engagements, sometimes concurrently and independently, from scoping to final workpapers and report issuance
  • Prepare workpapers for each test in accordance with firm standards
  • Prepare comprehensive reports for management that highlights the scope, testing approach and the overall results and findings of the compliance testing review
  • Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of report issuance
  • Oversee remediation of gaps identified in the testing process and track issues to closure
  • Support issues management development and tracking of Compliance-identified findings
  • Participate in special projects as they arise to enhance compliance functions
  • Work closely with other support functions and the business areas to support a culture of compliance across the firm
  • Execute Branch Inspections
  • Assist in identifying areas for enhanced monitoring or training
Requirements
  • BA/BS, or a similar degree, required
  • 7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus
  • JD desirable but not required
  • Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them
  • Knowledge of US laws, rules and regulations pertaining to Swap Dealers, including Dodd-Frank and Volcker
  • Excellent interpersonal, organizational, leadership and communication (oral and written) skills
  • 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
  • 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 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 PowerPoint
About TD Bank

TD Bank 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.

Total Rewards Package

Our 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.

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