Senior Compliance Monitoring & Testing Lead

TD Bank Group; New York (NY); On-site; USD 100,000 - 135,000; Full time

Job summary

TD Securities in New York is seeking a Senior Compliance Officer to join the Compliance Monitoring and Testing Team. You will help develop and execute the annual testing and monitoring plan, define review scopes, and document findings for senior stakeholders.

The role requires 5+ years in compliance testing or audit within US broker-dealers, strong regulatory knowledge, and excellent communication. JD desired; BA/BS required.

Qualifications

• BA/BS or similar degree required; JD desirable but not required.
• 5+ years of relevant experience in Compliance Testing or Audit within a registered US broker dealer or regulator, focusing on capital markets or investment banking.
• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations.

Responsibilities

• Assist with developing and executing the annual Compliance Testing and Monitoring plan.
• Determine scope of reviews; build detailed review steps; organize documentary evidence of review.
• Execute testing engagements and prepare reports documenting exceptions and action plans.
• Communicate deficiencies to the business and stakeholders; exercise credible challenge.
• Oversee remediation of gaps identified in testing process; build relationships with stakeholders.
• Support development of monitoring, testing or training; participate in special projects.

Skills

Compliance Testing

Audit

Regulatory Knowledge

Analytical Skills

Communication Skills

Project Management

Education

BA/BS or similar degree

JD desirable

Job description

TD Securities in New York is seeking a Senior Compliance Officer to join the Compliance Monitoring and Testing Team. You will help develop and execute the annual testing and monitoring plan, define review scopes, and document findings for senior stakeholders.

The role requires 5+ years in compliance testing or audit within US broker-dealers, strong regulatory knowledge, and excellent communication. JD desired; BA/BS required.