TD Bank Sr Compliance Officer-U.S. Markets Compliance Advisory-Equities, TDS in New York, New York
Sr Compliance Officer-U.S. Markets Compliance Advisory-Equities, TDS
TD Securities provides a wide range of M&A advisory, capital markets 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
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• Provide coverage of equities and listed options sales and trading developing a close working relationship with personnel from front office and existing Compliance coverage team
• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
• Knowledge of rules surrounding CAT, 606 and LOPR
• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities or new activities.
• Advise business on New Business Activities
• Provide regulatory/compliance training.
• Assist the business on implementing and documenting various supervisory/control mechanisms
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
• Interact with federal and state regulators
• Perform testing and monitoring of compliance with firm policies for covered business areas
• Conduct compliance risk assessments to ensure effective business control framework
• Provide ongoing reporting to senior management
• Develop and deliver proactive strategies and tactics that support compliance/business objectives
Candidate must have compliance experience in the Equites space, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large projects impacting all the Firms business but with coverage focus related to the Equity Business.
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 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.
• 3-5+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered
• JD a plus
• Experience in providing legal, regulatory or compliance advice to Markets sales and trading
• Knowledge of equities sales and trading markets
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, CFTC, NYSE, FED and OCC
• Excellent oral and written communication skills
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment
• Ability to project confidence and professionalism in dealings with senior business personnel
• Strong knowledge of technology infrastructure and global booking models
• Ability to work on multiple projects in a fast paced environment
• Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally
1 Vanderbilt Avenue TDS
Job Category - Primary:
Securities / Wholesale Banking
Securities / Wholesale Banking
Compliance Business Oversight
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