TD Bank Senior Compliance Officer in New York, New York
Auto req ID 198819BR
Job Title Senior Compliance Officer
Job Status Full Time
Country UNITED STATES
Province/State New York
City1 New York
Location NYC - 52nd St (18th Fl)
Business line Other
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. www.td.com
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 and contain the following elements;
Commitment and Accountability; Policies and Procedures; Control and Supervision; Monitoring and Testing; Regulatory Oversight; Training and Awareness; Reporting; and Communication and Review.
The Registration 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, globally.
Responsibilities include, but are not limited to:
• 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.
• Managing the political contribution reporting process for MSRB and CFTC purposes.
• Maintaining the Swap Dealer Associated Person list.
• Corresponding with regulators regarding disclosures and examination waivers.
• Working with the business and compliance officers to maintain the supervisory list.
• Coordinating study materials, classes and examinations.
• Administering, monitoring and documenting the regulatory and firm elements of the Firm’s Continuing Education Program.
• Updating the Registration and Training Compliance procedural documents to reflect requirements related to SEC, FINRA, CFTC and NFA.
• Developing and producing reporting information to business and compliance for supervision and compliance purposes.
• Responding to internal and external inquiries, audits and examinations.
• Administering and managing the OBA approval and disclosure process.
• Conducting Compliance Orientation for all New Hires and transferred employees.
• Maintaining the department’s email distribution lists.
• Working on projects with Global partners to create efficiencies.
• Facilitate payment of various initial and renewal fees.
• Bachelor’s Degree required
• Minimum of 5 years of demonstrated relevant experience with a registered US broker dealer
• 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
• Problem solving skills and the 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
• Attentive to detail and be able 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 USWAPTDO@td.com . 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