Job Title

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 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: The TDS US Compliance team is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade surveillance of Fixed Income Products, with relevant knowledge of trade lifecycle and capital markets business. KEY ACCOUNTABILITIES SHAREHOLDER u2022 Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate u2022 Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area u2022 Protect the interests of the organization u2013 identify and manage risks, and escalate non-standard, high-risk activities as necessary u2022 Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices u2022 Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exist u2022 Acquire and apply expertise in the discipline, provide guidance and direction to others u2022 Identify, recommend and effectively execute standard practices applicable to the discipline u2022 Adhere to internal policies/procedures and applicable regulatory guidelines u2022 Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts u2022 Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite STAKEHOLDERS u2022 Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations u2022 Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations u2022 Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs u2022 Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders u2022 Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate EMPLOYEE / TEAM u2022 Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication and/or escalation of issues u2022 Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence u2022 Provide coverage to other colleagues for surveillance modules covered during cross training sessions u2022 Volunteer to present cases/escalations during monthly meeting and team members should participate in the discussion u2022 Gain an understanding of new trade surveillance modules and surveillance tools u2022 Keep current on emerging trends/ developments and enhance knowledge of the business, related tools and techniques u2022 Keep others informed and up to date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities u2022 Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate u2022 Contribute to a fair, positive and equitable environment that supports a diverse workforce u2022 Act as a brand ambassador for your business area/function and the bank, both internally and/or externally 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 the senior officer and may coach and educate others + Individual contributor role providing specialized expertise or may lead a small team of specialists + Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators + Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information + Provides day to day interaction and support to Management + Oversees/executes and/or performs tasks from end to end + Focuses on short to mid-term issues (e.g. monthly-quarterly) Education & Experience: + Bachelors degree or progressive work experience + 5-7 Years of related experience Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% + Domestic Travel u2013 Occasional + International Travel u2013 Never + Performing sedentary work u2013 Continuous + Performing multiple tasks u2013 Continuous + Operating standard office equipment - Continuous + Responding quickly to sounds u2013 Occasional + Sitting u2013 Continuous + Standing u2013 Occasional + Walking u2013 Occasional + Moving safely in confined spaces u2013 Occasional + Lifting/Carrying (under 25 lbs.) u2013 Occasional + Lifting/Carrying (over 25 lbs.) u2013 Never + Squatting u2013 Occasional + Bending u2013 Occasional + Kneeling u2013 Never + Crawling u2013 Never + Climbing u2013 Never + Reaching overhead u2013 Never + Reaching forward u2013 Occasional + Pushing u2013 Never + Pulling u2013 Never + Twisting u2013 Never + Concentrating for long periods of time u2013 Continuous + Applying common sense to deal with problems involving standardized situations u2013 Continuous + Reading, writing and comprehending instructions u2013 Continuous + Adding, subtracting, multiplying and dividing u2013 Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Additional Information: Weu2019re delighted that youu2019re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, weu2019re committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If youu2019re interested in a specific career path or are looking to build certain skills, we want to help you succeed. Youu2019ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD u2013 and weu2019re committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that youu2019ve got everything you need to succeed in your new role. Interview Process Weu2019ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.