NYC Staffing
Vice President, Compliance - Monitoring & Testing, TD Securities
NYC Staffing, New York, New York, United States, 10001
Compliance Officer
Work Location: New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $145,000 - $185,000 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: This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed. Compliance Monitoring and Testing Develop and design annual and cycle-based Compliance Testing and Monitoring plans. Execute the annual Compliance Testing plan. Determine test scopes, and design and develop effective test strategies and approaches. Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards. Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings. Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge. Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews. Oversee remediation of gaps identified in the Testing or Monitoring activities. Identify areas for enhanced Monitoring, Testing or training. Core Compliance Design and develop Testing and Monitoring metrics, and contribute to department reporting. Support issues management development and tracking of Compliance-identified findings. Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses. Work closely with other support functions and the business areas to support a culture of compliance across the firm. Participate in special projects as they arise to enhance Compliance functions. Depth & Scope Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists. Subject matter expert for a functional area. Key contact for business management, regulators and external/internal auditors, dealing with non-routine information. Focuses on short to mid-range planning (e.g. 6-12 months). Manages regulatory reviews including inquiries, audits, and exams. Education & Experience Bachelors degree or progressive work experience. 5-7 Years of related experience. Preferred Qualifications 7 or more years of experience with a registered US broker dealer, regulator, or global financial organization. JD desirable but not required. Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. Excellent interpersonal, organizational, leadership and communication (oral and written) skills. Client service skills
the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues. Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction. Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time. Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size. A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm. Proficient in Word, Excel and PowerPoint. Physical Requirements Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel
Occasional International Travel
Never Performing sedentary work
Continuous Performing multiple tasks
Continuous Operating standard office equipment - Continuous Responding quickly to sounds
Occasional Sitting
Continuous Standing
Occasional Walking
Occasional Moving safely in confined spaces
Occasional Lifting/Carrying (under 25 lbs.)
Occasional Lifting/Carrying (over 25 lbs.)
Never Squatting
Occasional Bending
Occasional Kneeling
Never Crawling
Never Climbing
Never Reaching overhead
Never Reaching forward
Occasional Pushing
Never Pulling
Never Twisting
Never Concentrating for long periods of time
Continuous Applying common sense to deal with problems involving standardized situations
Continuous Reading, writing and comprehending instructions
Continuous Adding, subtracting, multiplying and dividing
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. 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.
Work Location: New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $145,000 - $185,000 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: This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed. Compliance Monitoring and Testing Develop and design annual and cycle-based Compliance Testing and Monitoring plans. Execute the annual Compliance Testing plan. Determine test scopes, and design and develop effective test strategies and approaches. Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards. Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings. Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge. Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews. Oversee remediation of gaps identified in the Testing or Monitoring activities. Identify areas for enhanced Monitoring, Testing or training. Core Compliance Design and develop Testing and Monitoring metrics, and contribute to department reporting. Support issues management development and tracking of Compliance-identified findings. Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses. Work closely with other support functions and the business areas to support a culture of compliance across the firm. Participate in special projects as they arise to enhance Compliance functions. Depth & Scope Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists. Subject matter expert for a functional area. Key contact for business management, regulators and external/internal auditors, dealing with non-routine information. Focuses on short to mid-range planning (e.g. 6-12 months). Manages regulatory reviews including inquiries, audits, and exams. Education & Experience Bachelors degree or progressive work experience. 5-7 Years of related experience. Preferred Qualifications 7 or more years of experience with a registered US broker dealer, regulator, or global financial organization. JD desirable but not required. Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. Excellent interpersonal, organizational, leadership and communication (oral and written) skills. Client service skills
the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues. Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction. Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time. Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size. A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm. Proficient in Word, Excel and PowerPoint. Physical Requirements Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel
Occasional International Travel
Never Performing sedentary work
Continuous Performing multiple tasks
Continuous Operating standard office equipment - Continuous Responding quickly to sounds
Occasional Sitting
Continuous Standing
Occasional Walking
Occasional Moving safely in confined spaces
Occasional Lifting/Carrying (under 25 lbs.)
Occasional Lifting/Carrying (over 25 lbs.)
Never Squatting
Occasional Bending
Occasional Kneeling
Never Crawling
Never Climbing
Never Reaching overhead
Never Reaching forward
Occasional Pushing
Never Pulling
Never Twisting
Never Concentrating for long periods of time
Continuous Applying common sense to deal with problems involving standardized situations
Continuous Reading, writing and comprehending instructions
Continuous Adding, subtracting, multiplying and dividing
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. 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.