TD Securities · 1 month ago
Sr. Compliance Officer - Monitoring & Testing (Associate), TD Securities (US)
New York, NY
Full-time
Hybrid
Mid, Senior Level
$100K/yr - $135K/yr
5+ years expTD Securities is a leading provider of capital markets products and services to corporate, government, and institutional clients. The Senior Compliance Officer will play a crucial role in the Compliance Monitoring and Testing Team, developing and executing compliance testing plans and ensuring adherence to regulatory requirements across the organization.
BankingFinanceFinancial Services
Responsibilities
Assist with developing and executing the annual Compliance Testing and Monitoring plan
Determine scope of reviews; build detailed review steps; organize documentary evidence of review
Execute testing engagements, and prepare reports to document exceptions and action plans
Communicate deficiencies to the business and key stakeholders, and exercise credible challenge
Oversee remediation of gaps identified in the testing process
Build relationships with key stakeholders globally
Assist in identifying areas for enhanced Monitoring, Testing or training
Develop Testing and Monitoring metrics, and contribute to department reporting
Support issues management development and tracking of Compliance-identified findings
Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
Participate in special projects as they arise to enhance compliance functions
Work closely with other support functions and the business areas to support a culture of compliance across the firm
Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments
Qualification
Required
Bachelors degree or progressive work experience
5-7 Years of related experience
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them
Excellent interpersonal, organizational, leadership and communication (oral and written) skills
Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues
Project management skills and ability to manage multiple work streams involving different partners and groups
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time
Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size
A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm
Proficient in Word, Excel and PowerPoint
Preferred
JD desirable but not required
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
2026-01-06
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