Sr. Compliance Officer - Monitoring & Testing (Associate) - TD Securities (US)

TD Bank; New York (NY); On-site; USD 100,000 - 130,000; Full time

Benefits offered by this job

Programme de santé et bien-être

Possibilités de formation et de développement

Congés payés

Job summary

Une institution financière basée à New York recherche un Senior Compliance Officer pour rejoindre son équipe de surveillance et de tests de conformité. Le candidat idéal doit avoir une expérience de 5 à 7 ans dans le domaine de la conformité, une formation en baccalauréat et d'excellentes compétences en communication. Ce rôle hybride offre un salaire compétitif et des opportunités de développement professionnel.

Qualifications

• 5-7 ans d'expérience pertinente.
• Connaissance des opérations et réglementations financières.
• Capacité à travailler dans un environnement dynamique.

Responsibilities

• Développer et exécuter le plan de tests et de surveillance.
• Préparer des rapports pour documenter les exceptions.
• Établir des relations avec les parties prenantes clés.

Skills

Compétences analytiques

Excellentes compétences en communication

Gestion de projet

Service client

Education

Baccalauréat

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

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Ces témoins n’enregistrent pas de renseignements personnels permettant l’identification.Sr. Compliance Officer - Monitoring & Testing (Associate), TD Securities (US) page is loaded## Sr. Compliance Officer - Monitoring & Testing (Associate), TD Securities (US)remote type: Hybridelocations: New York, New Yorktime type: Temps pleinposted on: Publié aujourd'huijob requisition id: R\_1458457**Work Location**:New York, New York, États-Unis d'Amérique**Hours:**40**Line of Business:**Conformité**Pay Detail:**$100,000 - $130,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.**Job Description:****Preferred Qualifications:**This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team 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.**Depth & Scope:**Compliance Monitoring and Testing* 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 to document exceptions and action plans* Communicate deficiencies to the business and key stakeholders, and exercise credible challenge.* Oversee remediation of gaps identified in the testing process* Build relationships with key stakeholders globally* Assist in identifying areas for enhanced Monitoring, Testing or trainingCore 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* Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments**Education & Experience:*** Bachelors degree or progressive work experience* 5-7 Years of related experience* JD desirable but not required* Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.* Excellent interpersonal, organizational, leadership and communication (oral and written) skills.* Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.* Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.* Project management skills and ability to manage multiple work streams involving different partners and groups.* Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.* Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.* A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.* Proficient in Word, Excel and PowerPoint**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.**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