Senior Compliance Officer - Issues Management & Program Reporting

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$100,000 - $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:

Preferred Qualifications:

TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new programs and enhancements to existing programs in order to support its strong risk culture and strategic approach to managing regulatory compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will oversee issues management, including managing and performing reporting on Compliance owned or related Issues and Action Plans, as well as support program/knowledge resources. Key responsibilities include (but are not limited to): developing and cataloging documentation in support of the team (e.g., policies and procedures, etc.), leading development of the team's SharePoint library, management of relevant Issues to facilitate progression through the Issues Management lifecycle, reporting of Issues book of work and statuses to a variety of audiences (including senior management), coordination with other Compliance workstreams to integrate Issues Management intro their respective areas (e.g., Monitoring & Testing, Branch Inspections, Risk Assessment, Regulatory Exams, etc.).  

Depth & Scope:

Issues Management and Program Reporting

• Facilitate the TD Securities US Issues Management process, to include Issue logging, reporting, and escalations using our internal issues management tool.
• Maintain the new Issues Management dashboard, which is intended to provide insights into ongoing Issues statuses, trends and themes, and escalations.
• Manage the reporting deliverables related to Compliance-tracked Issues and ensure timely reminders and tracking of issues to closure.
• Work with Central Issues Management team to remediate any issues identified during QA.
• Participate in UAT testing for new program / system implementations or enhancements to the Issue Management system.
• Partner with Compliance teams to aid with Issue entry and workflow.
• Develop the team SharePoint to serve as a robust Knowledge Management platform and source.
• Support documentation efforts across the Team to drive consistency of materials and the maintenance of up-to-date policies and procedures.
• Participate in ad hoc special projects.

Education & Experience:

• BA/BS, or a similar degree, required.
• Strong technical skills, especially with Microsoft Office Suite (Excel, Access, PowerPoint, Word, Visio)
• Data visualization (e.g., Tableau, Qlikview, etc.), a plus.
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
• Project management skills and ability to manage multiple work streams involving different partners and groups.
• 3 or more years of experience with a registered US broker dealer or regulator.
• Knowledge of wholesale banking products and services, operations, regulatory frameworks (e.g., applicable rules and regulations), and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, and communication (oral and written) skills.
• Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.

The Senior Compliance Office 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.

Depth & Scope:

• Works independently as