Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)

Job description

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 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: Preferred Qualifications: This Senior Compliance Officer is a key member of the TD Securities - US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed. Depth & Scope: Compliance Monitoring and Testing 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 Core Compliance 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 com…