Senior Compliance Officer – Regulatory Initiatives, Policies and Procedures

Work Location:

Hours:

Line of Business:

Pay Detail:

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 candidates 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 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 policies and procedures requirements enhancements and collaborating with business units to manage regulatory risk.

Depth & Scope

• Coordinate with stakeholders globally to build maintain and enhance best practices for TDSs Compliance policy and procedure program

• Assist in drafting Compliance Department policies and procedures and related communications

• Maintain Compliance Department communications plan

• Review training materials to confirm consistency with policies and procedures

• Serve as a key contact for the policies and procedures systems of record including managing administrative tasks in coordination with systems of record owners

• Provide a high level of customer service to our internal clients and stakeholders acting as a point of contact for policy and procedure creation updates and enhancements

• Support policy related regulatory initiatives including enhancing policy formatting to conform with regulatory expectations

• Assist with oversight and maintenance of policy portals to ensure data accuracy and integrity

• Assist with ensuring policy update schedules are met including responding to status requests for policy updates

• Participate in special projects as needed

Education & Experience

• BA/BS or a similar degree required.

• JD desirable but not required.

• Willingness to learn new regulatory areas impacting policies products and market participants

• Experience with a registered US broker dealer swap dealer Global Systematically Important Bank (GSIB) or associated regulator.

• 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 institutions products and regulatory requirements and obligations.

• Advanced project management skills and ability to manage multiple work streams involving different partners and groups with limited oversight and direction.

• 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.

The Senior Compliance Office provides advice guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.

Depth & Scope:

• Works independently as the senior officer and may coach and educate others
• Individual contributor role providing specialized expertise or may lead a small team of specialists
• Considered a subject matter expert within a given area working closely with business partners auditors and/or regulators
• Contact for business management regulators and external/internal auditors with assistance from Management dealing with routine information
• Provides day to day interaction and support to Management
• Oversees/executes and/or performs tasks from end to end
• Focuses on short to mid-term issues (e.g. monthly-quarterly)

Education & Experience:

• Bachelors degree or progressive work experience
• 5-7 Years of 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 6500 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 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. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well 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 . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.