Senior Compliance Officer, Control Room, Compliance

TD

New York, NY, United States
Base: $110,000 - $135,000 usd; bonus/equity: not s...
Compliance strategy and oversight
Securities industry knowledge
Regulatory monitoring and surveillance
TD Securities Inc. Compliance Department is responsible for compliance strategy and oversight programs to prevent regulatory violations by employees and clients

Job Summary

  • TD Securities Inc. Compliance Department is responsible for compliance strategy and oversight programs to prevent regulatory violations by employees and clients.
  • The Senior Compliance Officer provides specialized expertise, supports business units, and ensures compliance with regulatory requirements while fostering a cooperative relationship with business partners and regulators.
  • TD offers a comprehensive Total Rewards package including base salary, variable compensation, health benefits, retirement programs, paid time off, career development, and a respectful, inclusive workplace culture.

Matching Summary

TD Securities Inc. Compliance Department is responsible for compliance strategy and oversight programs to prevent regulatory violations by employees and clients.

Salary

Base: $110,000 - $135,000 USD; Bonus/Equity: Not specified; Benefits: Health, retirement, paid time off, career development

Skills & Requirements

Must-have

  • Compliance strategy and oversight
  • Securities industry knowledge
  • Regulatory monitoring and surveillance
  • Investment banking compliance coverage
  • Policy and procedure development
  • Real-time deal flow support
  • Communication monitoring

Nice-to-have

  • Critical thinking and decision making
  • Strong interpersonal skills
  • Ability to work under pressure
  • Training and education delivery
  • Collaboration with global teams
  • Coaching and mentoring others

Key Requirements

  • University degree
  • Minimum 5 years senior compliance experience
  • Experience within bank owned dealer
  • 5-7 years related experience
  • Ability to interpret and apply regulation
  • Strong knowledge of capital markets
  • Ability to manage multiple projects

Work Rights

Not specified

Tailored Resume

Cover Letter