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

TD

New York, NY, United States
Base: $100,000 - $135,000 usd; bonus/equity: not s...
Compliance monitoring and testing
Regulatory reporting knowledge
Project management skills
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group, supporting compliance across US and certain global businesses

Job Summary

  • This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group, supporting compliance across US and certain global businesses.
  • TD offers a comprehensive Total Rewards package including base salary, variable compensation, health benefits, paid time off, career development, and recognition programs.
  • TD is committed to colleague development through regular career conversations, training programs, mentoring, and fostering a respectful, inclusive workplace.

Matching Summary

This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group, supporting compliance across US and certain global businesses.

Salary

Base: $100,000 - $135,000 USD; Bonus/Equity: Not specified; Benefits: Health, retirement, PTO, banking discounts

Skills & Requirements

Must-have

  • Compliance Monitoring and Testing
  • Regulatory Reporting Knowledge
  • Project Management Skills
  • Stakeholder Relationship Building
  • Analytical and Detail Oriented
  • Proficient in Word, Excel and PowerPoint

Nice-to-have

  • Leadership and Communication Skills
  • Client Service and Advisory Skills
  • Ability to Thrive in Fast-Paced Environment
  • Team Collaboration
  • Training and Development Support

Key Requirements

  • BA/BS degree required
  • 5+ years experience with US broker dealer or regulator
  • JD desirable but not required
  • Knowledge of finance, operations, sales and trading regulations
  • Ability to manage multiple work streams
  • Strong interpersonal and communication skills

Work Rights

Not specified

Tailored Resume

Cover Letter