Senior Compliance Officer

  • Company: TD Bank
  • Location: New York, New York
  • Posted: November 15, 2017
  • Reference ID: 1545332715
TD Securities provides a wide range of capital market products and services to corporate, government and institutional clients. The firm works with clients around the world, focusing selectively and strategically on the key financial centers: Toronto, Montreal, Calgary, Vancouver, New York, London, Singapore and Tokyo. Department Overview The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors' Audit and Risk Committees. It is the Compliance Department's responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated. Compliance Department responsibilities generally are to advise, monitor, and escalate. Job Description The Compliance Officer is an integral part of the TDS US Compliance department. This individual will support the registration, training and certain other core compliance functions to all employees. #LI-JH2 Job Requirements Compliance Testing

Develop the annual test plan;

Determine scope of reviews; build detailed review steps; organize documentary evidence of review;

Execute tests and write summary report to document exceptions and action plans;

Communicate deficiencies to the business;

Oversee remediation of gaps identified in the testing process;

Execute the branch review program;

Build relationships with key stakeholders globally.

Registration and Training

Processing Uniform Forms U-4, U-5, Form BD, 8-T, 8-R and State forms;

Processing and managing employees' fingerprints and background checks;

Managing WED CRD and NFA ORS queues, reports and information;

Corresponding with regulators regarding disclosures and examination waivers;

Administering the regulatory and firm elements of the Firm's Continuing Education Program. Qualifications Bachelor's Degree required.

Minimum of 3 years of demonstrated relevant experience with a registered US broker dealer.

Understanding of internal controls framework.

Testing the design and effectiveness of business controls.

Understanding of FINRA, SEC, NFA, CFTC rules.

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.

Audit or Controls experience a plus

Produce high quality output timely and accurately.

Strong technology skills including Excel.

Project management and people management skills are also required.

Attentiveness to detail and ability to work independently.

The successful candidate will have the ability to think strategically, translate concepts into effective processes and convey complex concepts in a clear and concise manner to a diverse audience.

Navigating FINRA Web CRD and NFA ORS applications. Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach her/his potential.

If you have a disability that requires an accommodation to complete the application process, please e-mail TD Bank's HR Compliance Department at Please include your full name, contact information and details about your request within the e-mail.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

**Province/State (Primary) New York City (Primary) New York

Share this Job