Senior Compliance Officer - Monitoring And Testing (associate) - Td Securities (us)

TD Bank

New York, New York, United States of America
Base: $100,000 - $135,000 usd; bonus/equity: eligi...
5+ years broker dealer experience
Execute annual compliance testing plans
Communicate deficiencies to stakeholders
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team responsible for covering TDS US businesses and certain global businesses

Job Summary

  • This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team responsible for covering TDS US businesses and certain global businesses.
  • The role involves developing and executing the annual Compliance Testing and Monitoring plan while communicating deficiencies to business and key stakeholders.
  • TD offers a competitive Total Rewards package including base salary, variable compensation, health benefits, and extensive career development opportunities.

Matching Summary

This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team responsible for covering TDS US businesses and certain global businesses.

Salary

Base: $100,000 - $135,000 USD; Bonus/Equity: Eligible for cash and/or equity incentive awards; Benefits: Health, retirement, PTO, and banking discounts included

Skills & Requirements

Must-have

  • 5+ years broker dealer experience
  • Execute annual compliance testing plans
  • Communicate deficiencies to stakeholders
  • Oversee remediation of identified gaps
  • Build relationships with regulators

Nice-to-have

  • JD degree desirable but not required
  • Ability to learn new areas quickly
  • Strong project management skills
  • Excellent interpersonal communication skills
  • Thrive in fast-paced environment

Key Requirements

  • BA/BS degree required
  • 5 or more years with registered US broker dealer or regulator
  • Knowledge of operations, finance, and sales trading rules

Work Rights

Not specified

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