Senior Compliance Officer: Global Monitoring & Testing Leader

TD; New York (NY); Vor Ort; USD 81.000 - 135.000; Vollzeit

Zusammenfassung

TD Securities seeking a Senior Compliance Officer to join the US Compliance Monitoring and Testing Team and Core Compliance Group in New York. You will develop and drive the annual testing plan, oversee testing engagements, and manage remediation with global stakeholders.

The role requires 5+ years in compliance testing or audit, strong regulatory knowledge, and excellent communication and project management skills. Bachelor’s degree required; JD preferred.

Qualifikationen

• BA/BS or similar degree required.
• JD degree desirable, but not required.
• 5+ years of relevant experience in Compliance Testing or Audit within a registered US broker dealer or regulator.
• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules.
• Excellent interpersonal, organizational, leadership and communication skills.
• Client service skills – ability to advise senior and line managers on regulatory interactions.
• Strong analytical skills and ability to evaluate complex regulatory issues.
• Project management skills and ability to manage multiple work streams.
• Ability to thrive in a fast-paced, deadline-driven environment.

Aufgaben

• 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 globally.
• Assist in identifying areas for enhanced monitoring, testing or training.

Kenntnisse

Regulatory knowledge

Analytical skills

Interpersonal skills

Leadership/mentoring

Project management

Ausbildung

BA/BS or similar degree

JD degree desirable

5+ years in Compliance Testing or Audit

Knowledge of operations, finance, regulatory reporting

Proficient in Word, Excel and PowerPoint

Jobbeschreibung

TD Securities seeking a Senior Compliance Officer to join the US Compliance Monitoring and Testing Team and Core Compliance Group in New York. You will develop and drive the annual testing plan, oversee testing engagements, and manage remediation with global stakeholders.

The role requires 5+ years in compliance testing or audit, strong regulatory knowledge, and excellent communication and project management skills. Bachelor’s degree required; JD preferred.