TD Bank Compliance Officer in New York, New York

Auto req ID 214222BR

Job Title Compliance Officer

Job Status Full Time

Country United States

Province/State New York

City1 New York

Location NYC - 52nd St (18th Fl)

Business line TD Securities

Job Category - Primary Securities | Wholesale Banking

Job Category(s) Securities | Wholesale Banking

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.

Job Description

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

Job Requirements


Processing Uniform Forms U-4, U-5, Form BD, 8-T, 8-R and State forms;

Processing and managing employees’ fingerprints and background checks.

Managing WED CRD and NFA ORS queues, reports and information.

Maintaining a list of branch offices and other non-registered locations.

Corresponding with regulators regarding disclosures and examination waivers.

Working with the business and compliance officers to maintain the supervisory list.

Developing and producing reporting information to business and compliance for supervision and compliance purposes.

Coordinating study materials, classes and examinations.


Administering, monitoring and documenting the regulatory and firm elements of the Firm’s Continuing Education Program.

Core Compliance

Managing the political contribution reporting process for MSRB and CFTC purposes.

Maintaining the Swap Dealer Associated Person list.

Managing the OBA approval and disclosure process.

Conducting Compliance Orientation for new employees.

Working on projects with Global partners to create efficiencies.

Facilitate payment of various initial and renewal fees.

Regulatory Exam Management

Assist with the Regulatory Exam Management function as needed and serve as back-up to the primary Regulatory Exam Management Compliance Officer.


Minimum 1 year in a registered broker-dealer

Excellent Organization skills and excel proficient

Navigating FINRA Web CRD and NFA ORS applications

Strong oral and written communication and organizational skills

Produce high quality output timely and accurately.

Understanding of FINRA, SEC, NFA and state registration rules and regulations

Ability to work independently on tasks

Strong technology skills including Excel

Able to develop and maintain professional relationships with internal and external parties

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


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 her/his 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.

**Province/State (Primary) New York

City (Primary) New York