Director - Bank Regulatory Compliance Officer, Td Securities (us)
TD Bank
New York, New York, United States
Base: $180,000 - $225,000 usd; bonus/equity: not s...
Bank regulatory compliance program
Occ and frb regulations
Second line challenge
This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group, focused on remediation and program development and improvement within TDS
Job Summary
This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group, focused on remediation and program development and improvement within TDS.
Work with stakeholders throughout the Firm to build out, maintain and enhance the bank regulatory compliance program for TD Securities' wholesale business and provide real-time interpretive guidance on OCC and FRB Regulations.
TD is committed to providing fair and equitable compensation opportunities to all colleagues, with growth opportunities and skill development as defining features of the colleague experience.
Matching Summary
This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group, focused on remediation and program development and improvement within TDS.
Salary
Base: $180,000 - $225,000 USD; Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
Bank regulatory compliance program
OCC and FRB Regulations
Second line challenge
Interpretive guidance
Policy and procedure maintenance
Regulatory change analysis
Nice-to-have
Client service skills
Relationship building
Thrive in fast-paced environment
Attention to detail
Self-starter
Markets surveillance systems knowledge
Key Requirements
8 to 10 years of experience
BA/BS degree required
JD desirable
Registered US broker dealer, swap dealer, GSIB, or regulator experience