5 years compliance experience in bank owned dealer
Thorough knowledge of securities industry regulations
Experience with grey list and restricted list maintenance
The role involves providing real-time compliance coverage and advice to Investment Banking, Global Credit, and Debt Capital Markets teams
Job Summary
The role involves providing real-time compliance coverage and advice to Investment Banking, Global Credit, and Debt Capital Markets teams.
Responsibilities include maintaining Grey Lists and Restricted Lists while ensuring independence between Equity Research and Investment Banking activities.
TD offers a competitive total rewards package including base salary, variable compensation, health benefits, and career development opportunities.
Matching Summary
The role involves providing real-time compliance coverage and advice to Investment Banking, Global Credit, and Debt Capital Markets teams.
Salary
Base: $110,000 - $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 compliance experience in bank owned dealer
Thorough knowledge of securities industry regulations
Experience with Grey List and Restricted List maintenance
Nice-to-have
Ability to work under pressure and meet tight deadlines
Strong personal integrity handling confidential information
Proficiency in electronic communication monitoring tools
Key Requirements
Bachelor's degree required
Minimum 5 years senior compliance experience in a bank-owned dealer