Compliance Officer (analyst) - Global Control Room Portfolio Management (ny)
TD Securities
New York, New York, United States of America
$75,000 - $95,000 usd; not specified; not specifie...
Global control room initiatives
Regulatory responses and audits
Issues management and tracking
The successful hire will assist the Global Control Room Head and the GCR Portfolio Management VP with implementing a program focused on regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements
Job Summary
The successful hire will assist the Global Control Room Head and the GCR Portfolio Management VP with implementing a program focused on regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.
Responsibilities include responding to regulatory inquiries, managing audit findings, enhancing quality assurance processes, and identifying opportunities for program enhancements.
TD Securities offers a wide range of capital markets products and services, striving to make every interaction, product, and experience remarkably human and refreshingly simple.
Matching Summary
The successful hire will assist the Global Control Room Head and the GCR Portfolio Management VP with implementing a program focused on regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.
Salary
$75,000 - $95,000 USD; Not specified; Not specified
Skills & Requirements
Must-have
Global Control Room initiatives
Regulatory responses and audits
Issues management and tracking
Quality assurance enhancement
Program and procedure enhancements
Risk and compliance culture
Nice-to-have
Strategic thinking and judgment
Fast-paced environment adaptability
Evolving matrixed environment operation
Building effective working relationships
Key Requirements
Bachelor's degree required
3+ years overall work experience
2+ years relevant banking/finance industry experience
Familiarity with regulations and compliance strategies
Expertise in Global Control Room, change management, project management
Experience with complex regulatory remediation efforts