Job Description
Work Location :
New York, New York, United States of America
Hours:
40
Line of Business:
Compliance
Pay Detail:
$125,000 - $140,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
The Senior Compliance Officer provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.
Ideal candidate would have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large projects impacting all the Firms business with a path to direct coverage over time.
Responsibilities:
Provide compliance advisory coverage for the markets advisory team with focus on the fixed income and municipal finance sales and trading business lines including developing a good working relationship with front office personnel and existing Compliance advisory team.
Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
Knowledge of rules surrounding TRACE, MSRB RTRS Reporting and U.S. Treasury Auctions
Identify key regulatory changes, and developments relevant to the business areas and proactively communicate the impact to their current or new activities.
Advise the business on new products and business initiatives.
Provide regulatory/compliance training.
Assist the business on implementing and documenting various supervisory/control mechanisms.
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
Interact with federal and state regulators.
Experience with drafting and revising compliance policies and procedures for covered business areas.
Conduct compliance risk assessments to ensure effective business control framework.
Provide ongoing reporting to senior management.
Develop and deliver proactive strategies and tactics that support compliance/business objectives
Depth & Scope:
Works independently as the senior officer and may coach and educate others
Individual contributor role providing specialized expertise or may lead a small team of specialists
Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators
Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information
Provides day to day interaction and support to Management
Oversees/executes and/or performs tasks from end to end
Focuses on short to mid-term issues (e.g. monthly-quarterly)
Education & Experience:
Bachelors degree or progressive work experience
5-7 Years of related experience
Preferred Qualifications:
3-5+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
JD a plus
Experience in providing legal, regulatory or compliance advice to Markets sales and trading.
Knowledge of fixed income sales and trading markets
Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, CFTC, NYSE, FED and OCC.
Excellent oral and written communication skills.
Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment.
Ability to project confidence and professionalism in dealings with senior business personnel.
Strong knowledge of technology infrastructure and global booking models.
Ability to work on multiple projects in a fast-paced environment.
Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally.
Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
Domestic Travel – Occasional
International Travel – Never
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Lifting/Carrying (over 25 lbs.) – Never
Squatting – Occasional
Bending – Occasional
Kneeling – Never
Crawling – Never
Climbing – Never
Reaching overhead – Never
Reaching forward – Occasional
Pushing – Never
Pulling – Never
Twisting – Never
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more (
Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information. TD Bank
Job Tags
Holiday work, Temporary work, Work experience placement, Work from home, Flexible hours,