Senior Compliance Officer
New York , New York
October 07, 2016
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. Job Description The Senior Compliance Officer is an integral part of the TDS US Compliance department. This individual will provide registration, training and certain other core compliance support to all employees.

Responsibilities include, but are not limited to:


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.

Maintaining a list of branch offices and other non-registered locations.

Corresponding with regulators regarding disclosures and examination waivers.

Working with the business and compliance officers to maintain the supervisory list.

Developing and producing reporting information to business and compliance for supervision and compliance purposes.

Coordinating study materials, classes and examinations.


Administering, monitoring and documenting the regulatory and firm elements of the Firm's Continuing Education Program.

Core Compliance

Managing the political contribution reporting process for MSRB and CFTC purposes.

Maintaining the Swap Dealer Associated Person list.

Managing the OBA approval and disclosure process.

Conducting Compliance Orientation for new employees.

Working on projects with Global partners to create efficiencies.

Facilitate payment of various initial and renewal fees.

Regulatory Exam Management

Assist with the Regulatory Exam Management function as needed and serve as back-up to the primary Regulatory Exam Management Compliance Officer. Job Requirements Bachelor's Degree required.

Minimum of 3 years of demonstrated relevant experience with a registered US broker dealer. Qualifications Navigating FINRA Web CRD and NFA ORS applications.

Strong oral and written communication and organizational skills.

Produce high quality output timely and accurately.

Understanding of FINRA, SEC, NFA and state registration rules and regulations.

Problem solving skills and the ability to work independently on tasks.

Strong technology skills including Excel.

Able to develop and maintain professional relationships with internal and external parties.

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. 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

A little about us:
TD Bank is creating and sustaining a diverse and inclusive workplace that reflects the people, cultures and languages of the communities we serve.

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