Work Location:
New York, New York, United States of America
Hours:
40
Pay Details:
$200,000 - $280,000 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.
Line of Business:
Compliance
Job Description:
Depth & Scope:
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
Provides support to the CCO of the broker-dealer by hiring, rebuilding/building and managing US based team of compliance officers dedicated to the broker-dealer/registered investment adviser
Develops, implements, enforces, maintains and oversees BD/RIA Compliance Programs including specific policies and procedures applicable to the institution, ensuring all activities in the U.S. comply with all applicable rules, regulations, laws, and compliance policies
Assists in regulatory examinations, including logistical needs of on-site examination teams
Helps coordinate internal audits related to the broker-dealer/registered investment adviser
Advises management on emerging examination and compliance trends; Represents the compliance function as a member of the institutions management committee; Maintains daily regulatory tracking database; Prepares and distributes compliance reporting
Oversees compliance testing and monitoring function; Provides advice on FINRA and SEC regulations to business and logistical functions in assessing applicability to new and existing business needs
Maintains open dialogue with Head of Supervision regarding policies and procedures and assists in implementation of any new procedures or enhancements
Assists in providing solutions to potential problems or issues involving compliance or regulatory risk
Coordinates with relevant business line personnel and support functions to identify and prevent potential conflicts and detect/prevent potential regulatory and compliance concerns
Responsible for the second line-of-defense Compliance testing function to create and execute detailed testing to assess compliance with regulations and firm policies
Oversees the development and sustainability of an evolving risk-based approach to optimize testing coverage and review of emerging risks
Leads risk assessment initiative for the broker-dealer/registered investment adviser to assesses inherent regulatory risks, the strength of controls which address those risks, and the residual risks which result. Coordinates annual compliance review for the adviser
Monitors and communicates legal and regulatory developments in the securities, broker- dealer, investment advisory, and insurance industries and work with the firms' leadership regarding the impact of such developments; Develops an strategic roadmap to address emerging regulatory trends
Leads with primary focus on engaging and building a high-caliber team; training and developing the team; ensuring a strong bench; mentoring and developing junior talent to succeed; and being a champion of the culture of TD
Education & Experience:
JD Preferred
FINRA Licenses 7, 24 required
10+ years experience
Prior experience at dual registered BD/RIA required
Leadership experience required
Strong knowledge of regulatory frameworks, including SEC, FINRA, and other relevant bodies
Exceptional project management, analytical, and communication skills
OCC Language:
This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.
Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.
Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.
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 (http://hrportal.ehr.com/tdtotalrewards)
Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll 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 - and we're committed to helping you identify opportunities that support your goals.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
Interview Process
We'll 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 USWAPTDO@td.com . 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.
