Sr. Compliance Officer - Markets Compliance Advisory - Corporate Investment Banking
TD Securities
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
on the key financial centers: Toronto, Montreal, Calgary, Vancouver, New
York, London, Singapore and Tokyo. www.td.com [2]
Job Description
Candidate must have compliance experience in Corporate Investment Banking,
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
Corporate Investment Banking Business at TD Securities (USA) LLC.
Requirements
• Design, develop, deliver and maintain a best in class program, policies,
and practices globally for Investment Banking Compliance
• Provide day to day strategic advice and guidance to front office
personnel in the Firms Investment Banking Business
• Collaborate with Compliance personnel in other jurisdictions to
coordinate efforts across the business.
• Partner with the Control Room to ensure appropriate procedures related to
Grey listing, monitoring and surveillance
• Identify regulatory trends and developments that impact business areas
and advise staff as to how this may impact their current or 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
Qualifications
• 3-5 years of compliance advisory experience. Similar experience with a
regulator or law firm will be considered
• JD a plus
• Reg M experience 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
Hours
40
Inclusiveness
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 [3] . Include your full name, best
way to reach you, and the accommodation needed to assist you with the
application process.
EOE/Minorities/Females/Veteran
Orientation/Gender Identity.