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"array_path" => "revision_uid.0.entity" ] ] "title" => array:1 [ 0 => array:1 [ "value" => "Sr. Compliance Officer - Markets Compliance Advisory - Corporate Investment Banking" ] ] "created" => array:1 [ 0 => array:1 [ "value" => "1652996660" ] ] "changed" => array:1 [ 0 => array:1 [ "value" => "1652996770" ] ] "promote" => array:1 [ 0 => array:1 [ "value" => "0" ] ] "sticky" => array:1 [ 0 => array:1 [ "value" => "0" ] ] "default_langcode" => array:1 [ 0 => array:1 [ "value" => "1" ] ] "revision_default" => array:1 [ 0 => array:1 [ "value" => "1" ] ] "revision_translation_affected" => array:1 [ 0 => array:1 [ "value" => "1" ] ] "metatag" => array:7 [ 0 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "name" => "title" "content" => "Sr. Compliance Officer - Markets Compliance Advisory - Corporate Investment Banking | TransWork" ] ] 1 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "name" => "description" "content" => "Company Overview 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" ] ] 2 => array:2 [ "tag" => "link" "attributes" => array:2 [ "rel" => "canonical" "href" => "https://transwork.org/jobs/sr-compliance-officer-markets-compliance-advisory-corporate-investment-banking" ] ] 3 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "property" => "og:image" "content" => "https://transwork.org/sites/default/files/styles/banner/public/2018-08/placeholder.jpg" ] ] 4 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "property" => "og:image:url" "content" => "https://transwork.org/sites/default/files/styles/banner/public/2018-08/placeholder.jpg" ] ] 5 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "property" => "og:image:secure_url" "content" => "https://transwork.org/sites/default/files/styles/banner/public/2018-08/placeholder.jpg" ] ] 6 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "name" => "twitter:image" "content" => "https://transwork.org/sites/default/files/styles/banner/public/2018-08/placeholder.jpg" ] ] ] "path" => array:1 [ 0 => array:3 [ "alias" => "/jobs/sr-compliance-officer-markets-compliance-advisory-corporate-investment-banking" "pid" => "358" "langcode" => "en" ] ] "menu_link" => [] "body" => array:1 [ 0 => array:3 [ "value" => """ <p>Company Overview<br />\r\n TD Securities provides a wide range of M&A advisory, capital markets products<br />\r\n and services to corporate, government and institutional clients. The firm<br />\r\n works with clients around the world, focusing selectively and strategically<br />\r\n on the key financial centers: Toronto, Montreal, Calgary, Vancouver, New<br />\r\n York, London, Singapore and Tokyo. <a data-saferedirecturl="https://www.google.com/url?q=http://www.td.com&source=gmail&ust=1653083003719000&usg=AOvVaw27X5yLXKTz6fyaXDcT5ylq" href="http://www.td.com/" rel="noreferrer" target="_blank">www.td.com</a> [2]<br />\r\n <br />\r\n Job Description<br />\r\n Candidate must have compliance experience in Corporate Investment Banking,<br />\r\n preferably in an advisory capacity. The Senior Manager will provide support<br />\r\n to the overall Markets Advisory Compliance team helping with large projects<br />\r\n impacting all the Firms business but with coverage focus related to the<br />\r\n Corporate Investment Banking Business at TD Securities (USA) LLC.<br />\r\n <br />\r\n Requirements<br />\r\n • Design, develop, deliver and maintain a best in class program, policies,<br />\r\n and practices globally for Investment Banking Compliance<br />\r\n • Provide day to day strategic advice and guidance to front office<br />\r\n personnel in the Firms Investment Banking Business<br />\r\n • Collaborate with Compliance personnel in other jurisdictions to<br />\r\n coordinate efforts across the business.<br />\r\n • Partner with the Control Room to ensure appropriate procedures related to<br />\r\n Grey listing, monitoring and surveillance<br />\r\n • Identify regulatory trends and developments that impact business areas<br />\r\n and advise staff as to how this may impact their current or new business<br />\r\n activities.<br />\r\n • Provide regulatory/compliance training<br />\r\n • Assist the business on implementing and documenting various<br />\r\n supervisory/control mechanisms<br />\r\n • Participate in internal investigations, respond to regulatory inquiries,<br />\r\n and coordinate internal and external audits and inspections<br />\r\n • Interact with federal and state regulators<br />\r\n • Perform testing and monitoring of compliance with firm policies for<br />\r\n covered business areas<br />\r\n • Conduct compliance risk assessments to ensure effective business control<br />\r\n framework<br />\r\n • Provide ongoing reporting to senior management<br />\r\n • Develop and deliver proactive strategies and tactics that support<br />\r\n compliance/business objectives<br />\r\n <br />\r\n Qualifications<br />\r\n • 3-5 years of compliance advisory experience. Similar experience with a<br />\r\n regulator or law firm will be considered<br />\r\n • JD a plus<br />\r\n • Reg M experience a plus<br />\r\n • Experience in providing legal, regulatory or compliance advice to Markets<br />\r\n sales and trading<br />\r\n • Knowledge of equities sales and trading markets<br />\r\n • Strong knowledge of applicable securities laws, rules and regulations<br />\r\n with the ability to assess firm impact. Specifically, FINRA, SEC, CFTC, NYSE,<br />\r\n FED and OCC<br />\r\n • Excellent oral and written communication skills.<br />\r\n • Ability to make, support and defend difficult and complex<br />\r\n regulatory/compliance decisions in a fast-paced and high pressured<br />\r\n environment<br />\r\n • Ability to project confidence and professionalism in dealings with senior<br />\r\n business personnel<br />\r\n • Strong knowledge of technology infrastructure and global booking models<br />\r\n • Ability to work on multiple projects in a fast paced environment<br />\r\n • Ability to work effectively in a global environment; leveraging and<br />\r\n sharing best practices and insights with colleagues globally<br />\r\n <br />\r\n Hours<br />\r\n 40<br />\r\n <br />\r\n Inclusiveness<br />\r\n At TD, we are committed to fostering an inclusive, accessible environment,<br />\r\n where all employees and customers feel valued, respected and supported. We<br />\r\n are dedicated to building a workforce that reflects the diversity of our<br />\r\n customers and communities in which we live in and serve, and creating an<br />\r\n environment where every employee has the opportunity to reach their<br />\r\n potential.<br />\r\n <br />\r\n If you are a candidate with a disability and need an accommodation to<br />\r\n complete the application process, email the TD Bank US Workplace<br />\r\n Accommodations Program at <a href="mailto:USWAPTDO@td.com" target="_blank">USWAPTDO@td.com</a> [3] . Include your full name, best<br />\r\n way to reach you, and the accommodation needed to assist you with the<br />\r\n application process.<br />\r\n <br />\r\n EOE/Minorities/Females/Veteran<wbr />s/Individuals with Disabilities/Sexual<br />\r\n Orientation/Gender Identity.</p>\r\n """ "summary" => "" "format" => "full_html" ] ] "field_agree_to_allow" => [] "field_agree_to_receive" => [] "field_application_deadline" => [] "field_application_instructions" => array:1 [ 0 => array:2 [ "value" => """ <p>Please submit an application on our website.<br />\r\n </p>\r\n """ "format" => "full_html" ] ] "field_application_start_date" => [] "field_business_name" => array:1 [ 0 => array:1 [ "value" => "TD Securities" ] ] "field_company_logo" => [] "field_confirm_rules" => [] "field_confirm_terms" => [] "field_contact_email" => [] "field_contact_email_transwork" => [] "field_contact_name" => [] "field_contact_name_transwork" => [] "field_contact_phone" => [] "field_contact_phone_transwork" => [] "field_contact_title" => [] "field_date_close" => array:1 [ 0 => array:1 [ "value" => "2022-05-23" ] ] "field_date_posted" => array:1 [ 0 => array:1 [ "value" => "2022-05-16" ] ] "field_education" => [] "field_employer" => [] "field_experience_level" => [] "field_industry" => array:1 [ 0 => array:3 [ "target_id" => "17" "entity" => array:19 [ "tid" => array:1 [ 0 => array:1 [ "value" => "17" ] ] "uuid" => array:1 [ 0 => array:1 [ "value" => "f935ddf1-3e2c-4925-be2d-df7d0f6b56c4" ] ] "revision_id" => array:1 [ 0 => array:1 [ "value" => "17" ] ] "langcode" => array:1 [ 0 => array:1 [ "value" => "en" ] ] "vid" => array:1 [ 0 => array:3 [ "target_id" => "industry" "entity" => array:9 [ "uuid" => "f0df3ba2-417b-48af-9a18-072913dafd78" "langcode" => "en" "status" => true "dependencies" => [] "name" => "Industry" "vid" => "industry" "description" => null "weight" => 0 "new_revision" => false ] "bundle" => "taxonomy_vocabulary" ] ] "revision_created" => array:1 [ 0 => array:1 [ "value" => "1567107647" ] ] "revision_user" => [] "revision_log_message" => [] "status" => array:1 [ 0 => array:1 [ "value" => "1" ] ] "name" => array:1 [ 0 => array:1 [ "value" => "Financial Services" ] ] "description" => array:1 [ 0 => array:2 [ "value" => null "format" => null ] ] "weight" => array:1 [ 0 => array:1 [ "value" => "0" ] ] "parent" => array:1 [ 0 => array:1 [ "target_id" => "0" ] ] "changed" => array:1 [ 0 => array:1 [ "value" => "1567107647" ] ] "default_langcode" => array:1 [ 0 => array:1 [ "value" => "1" ] ] "revision_default" => array:1 [ 0 => array:1 [ "value" => "1" ] ] "revision_translation_affected" => array:1 [ 0 => array:1 [ "value" => "1" ] ] "metatag" => array:6 [ 0 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "name" => "title" "content" => "Financial Services | TransWork" ] ] 1 => array:2 [ "tag" => "link" "attributes" => array:2 [ "rel" => "canonical" "href" => "https://transwork.org/taxonomy/term/17" ] ] 2 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "property" => "og:image" "content" => "https://transwork.org/sites/default/files/styles/banner/public/2018-08/placeholder.jpg" ] ] 3 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "property" => "og:image:url" "content" => "https://transwork.org/sites/default/files/styles/banner/public/2018-08/placeholder.jpg" ] ] 4 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "property" => "og:image:secure_url" "content" => "https://transwork.org/sites/default/files/styles/banner/public/2018-08/placeholder.jpg" ] ] 5 => array:2 [ "tag" => "meta" "attributes" => array:2 [ "name" => "twitter:image" "content" => "https://transwork.org/sites/default/files/styles/banner/public/2018-08/placeholder.jpg" ] ] ] "path" => array:1 [ 0 => array:1 [ "langcode" => "en" ] ] ] "bundle" => "industry" ] ] "field_job_status" => [] "field_job_summary" => [] "field_job_type" => array:1 [ 0 => array:1 [ "value" => "1" ] ] "field_link_to_apply" => array:1 [ 0 => array:3 [ "uri" => "https://www.td.com/us/en/investing/automated/?mps=mps:tdb:p:wsp:ws-:all:d:H3071&gclid=Cj0KCQjw1ZeUBhDyARIsAOzAqQIemNzGebJeLpmIwZ0wOwee9uB3PR-3zPpomb-aj7vpLfR-4uPfHoAaAvkLEALw_wcB&gclsrc=aw.ds" "title" => "Link to apply" "options" => [] ] ] "field_location" => array:1 [ 0 => array:1 [ "value" => "New York, NY" ] ] "field_organization_website" => [] "field_salary" => [] "field_salary_annual_minimum" => [] "field_salary_hourly_minimum" => [] "field_salary_range_maximum" => [] "field_salary_range_minimum" => [] "field_salary_type" => [] "field_skills" => [] "field_work_location" => [] ]
