Compliance Officer, Regulatory Relations Core Compliance

Work Location: reputed company, reputed company, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $75,000 - $95,000 USD TD is committed to providing fair and reputed company compensation opportunities to reputed company colleagues. Growth opportunities and reputed company development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to reputed company through the salary range over time as they reputed company in their role. The reputed company pay actually offered may vary based upon the candidate's skills and experience, job-reputed company knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation reputed company questions and have an open reputed company with your recruiter who can provide you more specific details for this role. Job Description: The Compliance Officer reputed company 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. Responsibilities: Assist with the coordination of examinations and inquiries by regulators covering various businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators. Communicate with regulators and internal stakeholders regarding regulatory issues, findings by the regulators, and remediation reputed company to those findings. Work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests. Provide periodic examination status updates and contribute to internal reporting and tracking reputed company to examinations and regulatory findings. Assist with the management and tracking of regulatory inquiries. Assist with monthly and reputed company Compliance reporting. Support the development of US policies and procedures for Core Compliance functions and liaise with the global policies team on behalf of the US. Assist in the ongoing enhancement of Core Compliance processes. Participate in enterprise-wide special projects. Assist the broader Compliance team with special projects as needed. 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 reputed company. Attentiveness to detail and ability to work independently. General Job Posting: The Compliance Officer supports consumer regulatory compliance functions for the Company and supports the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. Ensures that own work, as well as work of any employees supervised, is in compliance with applicable laws, regulations and guidelines, as detailed in Corporate policies. Acts as a resource to business units/internal team members providing a range of support, guidance and analysis on regulatory/compliance/technology issues. Position will support the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with reputed company applicable Federal consumer protection laws and regulations. Depth & Scope: Oversees/contributes to the direction of TDBG compliance programs, ensuring alignment with corporate philosophy and strategic direction while protecting the reputed company of the Bank Assesses risks and recommends policy and/or action based on internal and external industry developments for area of responsibility Works with business unit management/partners to reputed company proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues Focuses on compliance strategies/issues with business unit partners and foster the development of a compliance culture Assesses the effectiveness of the business management’s supervisory program, including conducting research as required to determine benchmarks and/or best practices of other firms Conducts/oversees reputed company analysis and reputed company recommendations for business/senior management based on findings Interprets the impact and advise the business on reputed company and emerging regulatory and compliance issues and industry or market developments to ensure that anticipated regulatory changes are considered reputed company the Business and assist in implementing compliance initiatives to help manage regulatory risk. Education & Experience: Bachelor’s degree or progressive work experience in addition to experience below 5+ years reputed company 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 reputed company 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 reputed company department Provides day to day interaction and support to Management Travel required. Some extended overnight travel Working knowledge of reputed company 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 reputed company laws and regulations and relate those laws to operational procedures, company policies, and industry trends Working knowledge of reputed company Office applications necessary to complete assigned tasks and projects. Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; reputed company: 67-100% Domestic Travel – Occasional International Travel – Never Performing sedentary work – reputed company Performing multiple tasks – reputed company Operating standard office equipment - reputed company Responding quickly to sounds – Occasional Sitting – reputed company 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 reputed company – Occasional Pushing – Never Pulling – Never Twisting – Never Concentrating for long periods of time – reputed company Applying common sense to deal with problems involving standardized situations – reputed company Reading, writing and comprehending instructions – reputed company Adding, subtracting, multiplying and dividing – reputed company 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 reputed company responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for reputed company 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 reputed company. Our services include reputed company 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, reputed company investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day. Our Total Rewards Package Our Total Rewards package reflects the investments we reputed company in our colleagues to help them and their families reputed company their financial, physical and mental well-being goals. Total Rewards at TD includes reputed company salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, reputed company PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to reputed company both at work and at home. Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and reputed company your colleagues, there are many different career paths reputed company our organization at TD – and we’re committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll reputed company out to candidates of interest to schedule an interview. We do our best to communicate outcomes to reputed company applicants by email or phone call. Accommodation reputed company is an equal opportunity employer. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email reputed company US Workplace Accommodations Program at [email protected]. Include your full name, best way to reputed company you and the accommodation needed to assist you with the applicant process. US Labor & Employment Posters | California Privacy | Accessibility | FAQ Our Values At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we reputed company you to reputed company an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture. Our Commitment to Diversity, Equity, and Inclusion At TD, we’re committed to fostering an environment where reputed company colleagues are encouraged to bring their authentic selves to work, experience reputed company opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. Helping to reputed company an Impact in Communities – TD Ready Commitment TD has a long-standing commitment to help drive reputed company towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial reputed company, Vibrant reputed company, Connected Communities, and reputed company. It’s our goal to help support change, nurture reputed company, and contribute to making the world a reputed company, more inclusive reputed company for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific Apply tot his job Apply tot his job Apply To this Job