Base: $100,000 - $135,000 usd; bonus/equity: not s...
Compliance monitoring & testing
Risk owner testing and monitoring
Evaluate program design elements
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, implementing and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance coverage plan
Job Summary
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, implementing and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance coverage plan.
Collaborate with colleagues globally to evaluate and coordinate with our Risk Owners to assist and show coverage alongside the Compliance testing and monitoring plan coverage of key risks and business units for applicable Laws, Rules and Regulations.
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.
Matching Summary
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, implementing and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance coverage plan.
Salary
Base: $100,000 - $135,000 USD; Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
Compliance Monitoring & Testing
Risk Owner testing and monitoring
evaluate program design elements
financial product laws rules
testing or audit concepts
Nice-to-have
client service skills
relationship and network building
self-starter
thrive in fast-paced environment
Key Requirements
BA/BS or similar degree
5+ years experience
registered US broker dealer
knowledge of global security and derivative products