Senior Compliance Officer – U.S. Markets Compliance Advisory, TD Securities

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 glo