JOB DESCRIPTION:
The Compliance Officer within Regulatory Relations Core Compliance assists in the development and execution of core compliance programs and processes and helps manage the various relationships with our US regulators.
QUALIFICATIONS:
- BA/BS, or a similar degree required.
- 2 years of experience with a registered US broker dealer or regulator.
- Problem solving skills and the ability to work independently.
- Strong oral and written communication skills.
- Ability to build and maintain professional relationships with internal and external parties.
- Produce high quality output timely and accurately.
- Strong technology skills including Word, PowerPoint and Excel.
- Attentiveness to detail and ability to work independently.
EDUCATION & EXPERIENCE:
- Bachelor’s degree or progressive work experience in addition to experience below
- 5+ years related experience required
- In depth knowledge of applicable laws and regulations, research skills and presentation skills
- Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that identify and quantify risk as well as present sound solutions taking into account Bank operations and culture
- Strong organizational and time management skills
- Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends
- Ability to communicate effectively with senior level management
- Proven experience in project coordination and ability to work independently
- Ability to use personal computer for word processing and electronic filing and retrieval of documents.
- Strong analytical skills and basic mathematical ability to understand and test disclosures as well as ability to use PC or other equipment to verify data and calculations
- Oversees/executes and/or performs tasks from end to end
- Focuses on short to mid term issues (e.g. monthly-quarterly)
- May coach and educate others on assigned team or within department
- Provides day to day interaction and support to Management
- Travel required. Some extended overnight travel
- Working knowledge of Microsoft Office applications necessary to complete assigned tasks and projects.
- Proficiency using online course development tools and knowledge of HTML coding
- Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends
- Working knowledge of Microsoft Office applications necessary to complete assigned tasks and projects.
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. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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.
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