Compliance Officer, Regulatory Relations Core Compliance

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$75,000 - $95,000 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 Compliance Officer within Regulatory Relations Core Compliance assists in the development and execution of core compliance programs and processes and helps manage the various relationships with our US regulators.

Responsibilities:

• Assist with the coordination of examinations and inquiries by regulators covering various businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators.
• Communicate with regulators and internal stakeholders regarding regulatory issues, findings by the regulators, and remediation related to those findings.
• Work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests.
• Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.
• Assist with the management and tracking of regulatory inquiries.
• Assist with monthly and ad hoc Compliance reporting.
• Support the development of US policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of the US.
• Assist in the ongoing enhancement of Core Compliance processes.
• Participate in enterprise-wide special projects.
• Assist the broader Compliance team with special projects as needed.

Qualifications:

• BA/BS, or a similar degree required.
• 2 years of experience with a registered US broker dealer or regulator.
• Problem solving skills and the ability to work independently.
• Strong oral and written communication skills.
• Ability to build and maintain professional relationships with internal and external parties.
• Produce high quality output timely and accurately.
• Strong technology skills including Word, PowerPoint and Excel.
• Attentiveness to detail and ability to work independently.

General Job Posting:

The Compliance Officer 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 find