Senior Compliance Officer TDS

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • TD Bank Group
  • 21 Apr 19

Senior Compliance Officer TDS

Company Overview

TD Securities provides a wide range of capital market 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.

Job Description

Candidate must have compliance experience in fixed income business lines. The role will focus on regulatory implementation and development of the compliance control framework for fixed income business units. Additional responsibilities include providing tailored advice to business unites to resolve issues with consideration to regulatory requirements, firm risk and industry best practice.


•Advise business areas on firm policies and procedures, regulatory requirements and industry best practice

•Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities

•Draft, update, and implement relevant policies and procedures

•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

•Analyze new regulations and conduct business-based analysis and execute requite implementation

•Provide ongoing reporting to senior management

•Develop and deliver proactive strategies and tactics that support compliance/business objectives


•3-5+ years of compliance experience. Similar experience with a regulator or law firm will be considered

•Experience in providing legal, regulatory or compliance advice to Fixed income sales and trading including rates, credit and securitized products

•Primary Dealer and GSE experience a plus

•Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, MSRB 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;

•JD a plus




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 . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.