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TD Bank Senior Compliance Officer, TD Securities in New York City, New York


Job Title:

Senior Compliance Officer, TD Securities

TD Description:

TD Securities provides a wide range of capital market products and services to corporate, government and institutional clients. The firm works with clients around the world, focusing selectively and strategically on the key financial centers: Toronto, Montreal, Calgary, Vancouver, New York, London, Singapore and Tokyo.

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Department Overview:

The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors’ Audit and Risk Committees. It is the Compliance Department’s responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated. Compliance Department responsibilities generally are to advise, monitor, and escalate.


United States

Job Requirements:

Responsibilities include, but are not limited to:

Compliance Monitoring and Testing

• Develop the annual test plan and monitoring plan.

• Determine scope of reviews; build detailed review steps; organize documentary evidence of review.

• Execute tests and write summary report to document exceptions and action plans.

• Communicate deficiencies to the business.

• Oversee remediation of gaps identified in the testing process.

• Execute the branch review program.

• Build relationships with key stakeholders globally.

Core Compliance

• Develop testing and monitoring metrics and contribute to department reporting.

• Support issues management tracking of Compliance-identified findings.

• 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.

• Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments.



Job Description:

The Compliance Officer is an integral part of the TDS US Compliance department. This individual will support the registration, training and certain other core compliance functions to all employees.


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.


New York


New York City


• Bachelor’s Degree required

• Minimum of 3 years of demonstrated relevant experience with a registered US broker dealer

• Understanding of internal controls framework

• Testing the design and effectiveness of business controls

• Understanding of FINRA, SEC, NFA, CFTC rules

• 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

• Audit or Controls experience a plus

• Produce high quality output timely and accurately

• Strong technology skills including Excel

• Project management and people management skills are also required

• Attentiveness to detail and ability to work independently

• The successful candidate will have the ability to think strategically, translate concepts into effective processes and convey complex concepts in a clear and concise manner to a diverse audience

• Navigating FINRA Web CRD and NFA ORS applications

Work Location:

31 West 52nd Street

Business Line:

TD Securities

Job Category - Primary:

Securities / Wholesale Banking

Job Category(s):

Securities / Wholesale Banking

**Province/State (Primary):

New York

City (Primary):

New York City

Job Family:

Compliance Business Oversight

Time Type:

Full Time

Employment Type:


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