Job Description

Compliance Officer

Work Location: New York, New York, United States of America

Hours: 40

Line of Business: Compliance

$180,000 - $225,000 USD

TD 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.

Preferred Qualifications:

This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within U.S. Wholesale Compliance focused on remediation and program development and improvement within TDS.

Depth & Scope

• Work with stakeholders throughout the Firm to build out, maintain and enhance the bank regulatory compliance program for TD Securities' wholesale business
• Provide stakeholders within TD's wholesale business real-time interpretive guidance on application of OCC and FRB Regulations (including, without limitation, FRB Regulation W) and relevant regulatory guidance
• Provide effective second line challenge with respect to activities involving TD's New York Branch, including performing reviews and developing and implementing monitoring protocols and other second line controls
• Work closely with Volcker Compliance and front office teams on issues impacting TD's New York Branch
• Draft interpretive memoranda; maintain relevant policies and procedures, including applicable Compliance manuals
• Develop, maintain, and deliver electronic and live compliance training on relevant topics
• Assist the business and support functions with implementing and documenting various supervisory controls and operational processes
• Participate in internal investigations, draft responses to regulatory examination questions, guide stakeholders through exam-related remediations, and coordinate internal and external audits and management responses as needed
• Participate in special projects as needed

Education & Experience:

• BA/BS, or a similar degree, required.
• JD desirable but not required.
• Experience as bank regulatory compliance SME either within Compliance or Legal at complex financial services institution
• Strong understanding of FRB and OCC regulations and guidance and their application across diverse array of businesses and products
• 8 to 10 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.
• Candidate will be expected to provide key stakeholders with actionable guidance, advice, implementation support, issue-spotting, and effective challenge in a fast-paced, delivery-oriented, and diverse environment
• Analyze regulatory changes and developments that impact in-scope areas. Advise stakeholders regarding impacts to business-as-usual activities, as well as net new regulatory requirements
• Firm understanding of financial product rules and regulatory landscape
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Client service skills experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.
• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues.
• Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills.
• Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus.

General Job Description:

The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Depth & Scope:

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
• Position deals with senior/executive management.
• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
• Focuses on longer-range planning for functional area (e.g. 12 months or greater).
• Manages and prioritizes multiple projects at a given time.

Education & Experience:

• Bachelors degree or progressive work experience
• 7-10 years related experience

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 strive to make every interaction, product and experience remarkably human and refreshingly simple. 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.

Together, we are reimagining what banking can be for our clients, colleagues and communities.

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.

If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 Process:

We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation:

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

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