Sr. Compliance Officer - Monitoring & Testing (associate) - Td Securities (us)

TD Ameritrade

New York, New York, United States of America
Base: $100,000 - $135,000 usd; bonus/equity: eligi...
5-7 years of related experience
Develop annual compliance testing plan
Execute testing engagements and reports
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team responsible for developing and executing the annual Compliance Testing and Monitoring plan

Job Summary

  • This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team responsible for developing and executing the annual Compliance Testing and Monitoring plan.
  • The role requires communicating deficiencies to business stakeholders, exercising credible challenge, and overseeing the remediation of gaps identified during the testing process.
  • TD offers a competitive Total Rewards package including base salary, variable compensation, health benefits, retirement programs, 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 developing and executing the annual Compliance Testing and Monitoring plan.

Salary

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

Skills & Requirements

Must-have

  • 5-7 years of related experience
  • Develop annual Compliance Testing plan
  • Execute testing engagements and reports
  • Communicate deficiencies to stakeholders
  • Oversee remediation of compliance gaps

Nice-to-have

  • JD desirable but not required
  • Strong analytical skills and judgment
  • Ability to thrive in fast-paced environment
  • Relationship builder with regulators
  • Project management skills

Key Requirements

  • Bachelors degree or progressive work experience
  • 5-7 Years of related experience
  • Knowledge of operations, finance, regulatory reporting
  • Proficient in Word, Excel and PowerPoint

Work Rights

Not specified

Tailored Resume

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