TD · 1 day ago
Senior Compliance Officer, Global Control Room
New York, New York
Full-time
Onsite
Senior Level
$100K/yr - $135K/yr
5+ years expTD Securities is seeking an experienced Senior Compliance Officer to join their Compliance Control Room, focusing on portfolio management of the department's initiatives and programs. The successful hire will assist in implementing regulatory initiatives and managing stakeholder relationships to enhance compliance and operational efficiency.
FinanceBankingFinancial ServicesWealth Management
Responsibilities
Work with the senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements
Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquiries and internal audit requests, including requests for data, and exam inquiries as they relate to Global Control Room
Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders
Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancements
Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function
Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately
Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices
Work across teams globally to build effective working relationships across diverse stakeholder groups
Qualification
Required
Bachelors degree required: JD or MBA preferred
At least 5-7 years of overall work experience, with a minimum of 3+ years of relevant banking/finance industry
Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations
Experience with complex regulatory remediation efforts
Experience identifying regulatory risks and issues, and practical solutions to mitigate risk for Compliance Global Control Room
Highest personal and professional integrity and standards to advance TD's vision and protect the brand
Strong verbal and written communication skills
Strategic thinker with excellent judgement able to deliver effectively on project and departmental issues
Experience working in a fast-paced environment and managing multiple priorities well
Ability to successfully operate in an evolving, sometimes ambiguous, matrixed environment
Preferred
Experience with data visualization tools (e.g. Power BI, Tableau) and advanced Excel skills a plus
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
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
Senior Vice President Technology and Data Risk Management
Recent News
2026-01-24
2026-01-24
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