Work Location:
New York, New York, United States of America
Hours:
40
Line of Business:
Compliance
Pay Detail:
$84,000 - $116,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.
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Job Description:
Job Overview:
This Compliance Officer is a key member of the TDS US Compliance Branch Inspections Team and Core Compliance Group. The Branch Inspections Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed.
Branch Inspections
- Conduct Branch Office Inspections both remotely and in person in accordance with FINRA RULE 3110
- Prepare workpapers for each review in accordance with firm standards.
- Assist with Risk Assessment process for each registered and non-registered location in accordance with FINRA requirements and Firm expectations.
- Assist with communication deficiencies to the business
- Assist with remediation of gaps identified in the Branch Inpections process
- Build relationships with key stakeholders globally
- Assist the Compliance Testing Team, as needed, on monitoring and testing engagements.
Core Compliance
- Develop testing and monitoring metrics and contribute to department reporting
- Support issues management development and tracking of Compliance-identified findings
- Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
- 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
- Assist in identifying areas for enhanced monitoring or training
The Compliance Officer III supports consumer regulatory compliance functions for the Company and supports the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. Ensures that own work, as well as work of any employees supervised, is in compliance with applicable laws, regulations and guidelines, as detailed in Corporate policies. Acts as a resource to business units/internal team members providing a range of support, guidance and analysis on regulatory/compliance/technology issues. Position will support the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable Federal consumer protection laws and regulations.
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 manage regulatory/compliance issues
- 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.
Preferred 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
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 distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
Our 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. Learn more
Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
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.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.