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

TD Bank

New York, New York, United States
Base: $100,000 - $135,000 usd; bonus/equity: not s...
Compliance monitoring and testing
Regulatory reporting knowledge
Sales and trading knowledge
The Senior Compliance Officer will be a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group, supporting various aspects of the Core Compliance program

Job Summary

  • The Senior Compliance Officer will be a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group, supporting various aspects of the Core Compliance program.
  • Responsibilities include developing and executing the annual Compliance Testing and Monitoring plan, executing testing engagements, and communicating deficiencies to stakeholders.
  • TD Securities offers a wide range of capital markets products and services, with a commitment to fair and equitable compensation, growth opportunities, and skill development for colleagues.

Matching Summary

The Senior Compliance Officer will be a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group, supporting various aspects of the Core Compliance program.

Salary

Base: $100,000 - $135,000 USD; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Compliance Monitoring and Testing
  • Regulatory reporting knowledge
  • Sales and trading knowledge
  • Develop testing and monitoring metrics
  • Communicate deficiencies to business

Nice-to-have

  • Relationship builder with regulators
  • Thrive in fast-paced environment
  • Client service skills
  • Collaborative team player

Key Requirements

  • 5 or more years of experience
  • BA/BS or similar degree
  • Registered US broker dealer or regulator experience
  • Knowledge of applicable rules and regulations

Work Rights

Not specified

Tailored Resume

Cover Letter