Compliance Officer: Branch Inspections, Core Compliance Generalist - TD Securities

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$84,000 - $116,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

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:

Job Overview:

This Compliance Officer is a key member of the TDS US Compliance Branch Inspections Team and Core Compliance Group.  The Branch Inspections Team sits in Core Compliance and 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.

Branch Inspections

• Conduct Branch Office Inspections both remotely and in person in accordance with FINRA RULE 3110
• Prepare workpapers for each review in accordance with firm standards.
• Assist with Risk Assessment process for each registered and non-registered location in accordance with FINRA requirements and Firm expectations.
• Assist with communication deficiencies to the business
• Assist with remediation of gaps identified in the Branch Inpections process
• Build relationships with key stakeholders globally
• Assist the Compliance Testing Team, as needed, on monitoring and testing engagements.

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
• Assist in identifying areas for enhanced monitoring or training

The Compliance Officer III supports consumer regulatory compliance functions for the Company and supports the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. Ensures that own work, as well as work of any employees supervised, is in compliance with applicable laws, regulations and guidelines, as detailed in Corporate policies. Acts as a resource to business units/internal team members providing a range of support, guidance and analysis on regulatory/compliance/technology issues. Position will support the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable Federal consumer protection laws and regulations.

Depth & Scope:

• Oversees/contributes to the direction of TDBG compliance programs, ensuring alignment with corporate philosophy and strategic direction while protecting the reputation of the Bank
• Assesses risks and recommends policy and/or action based on internal and external industry developments for area of responsibility
• Works with business unit management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues
• Focuses on compliance strategies/issues with business unit partners and foster the development of a compliance culture
• Assesses the effectiveness of the business management’s supervisory program, including conducting research as required to determine benchmarks and/or best practices of other firms
• Conducts/oversees complex analysis and develop recommendations for business/senior management based on findings
• Interprets the impact and advise the business on current and emerging regulatory and compliance issues and industry or market developments to ensure that anticipated regulatory changes are considered within the Business and assist in implementing compliance initiatives