**Work Location** : New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $140,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new programs and enhancements to existing programs in order to support its strong risk culture and strategic approach to managing regulatory compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will oversee issues management, including managing and performing reporting on Compliance owned or related Issues and Action Plans, as well as support program/knowledge resources. Key responsibilities include (but are not limited to): developing and cataloging documentation in support of the team (e.g., policies and procedures, etc.), leading development of the team's SharePoint library, management of relevant Issues to facilitate progression through the Issues Management lifecycle, reporting of Issues book of work and statuses to a variety of audiences (including senior management), coordination with other Compliance workstreams to integrate Issues Management intro their respective areas (e.g., Monitoring & Testing, Branch Inspections, Risk Assessment, Regulatory Exams, etc.). **Depth & Scope:** **Issues Management and Program Reporting** + Facilitate the TD Securities US Issues Management process, to include Issue logging, reporting, and escalations using our internal issues management tool. + Maintain the new Issues Management dashboard, which is intended to provide insights into ongoing Issues statuses, trends and themes, and escalations. + Manage the reporting deliverables related to Compliance-tracked Issues and ensure timely reminders and tracking of issues to closure. + Work with Central Issues Management team to remediate any issues identified during QA. + Participate in UAT testing for new program / system implementations or enhancements to the Issue Management system. + Partner with Compliance teams to aid with Issue entry and workflow. + Develop the team SharePoint to serve as a robust Knowledge Management platform and source. + Support documentation efforts across the Team to drive consistency of materials and the maintenance of up-to-date policies and procedures. + Participate in _ad hoc_ special projects. **Education & Experience:** + BA/BS, or a similar degree, required. + Strong technical skills, especially with Microsoft Office Suite (Excel, Access, PowerPoint, Word, Visio) + Data visualization (e.g., Tableau, Qlikview, etc.), a plus. + Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues. + Project management skills and ability to manage multiple work streams involving different partners and groups. + 3 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory frameworks (e.g., applicable rules and regulations), and the ability to learn new areas while supporting them. + Excellent interpersonal, organizational, and communication (oral and written) skills. + Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. + Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time. The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual contributor role providing specialized expertise or may lead a small team of specialists + Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators + Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information + Provides day to day interaction and support to Management + Oversees/executes and/or performs tasks from end to end + Focuses on short to mid-term issues (e.g. monthly-quarterly) **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. **Our Total Rewards Package** Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base 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, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more (http://hrportal.ehr.com/tdtotalrewards) **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 thrive 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 inspire your colleagues, there are many different career paths within 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 reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. **Accommodation** If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.