TD Bank
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)
$100K–$135K
New York, New York · On-site · Senior · Full-time · Posted Jul 16, 2026
- Experience
- 5 or more years of relevant experience; the general job description states 5-7 years of related experience.
- Education
- BA/BS or a similar degree required; JD degree desirable, but not required. The general description also states a bachelor’s degree or progressive work experience.
About the job
Supports TD Securities’ US Compliance Monitoring and Testing program by planning and executing reviews, reporting findings, and helping manage compliance risks and remediation.
What you'll do
- Help develop and execute the annual testing and monitoring plan; scope reviews, perform testing, and document results.
- Communicate deficiencies, oversee remediation, and support issues tracking, rules inventory, metrics, and compliance reporting.
- Partner with business and support teams on compliance initiatives, training, regulatory change assessments, and special projects.
What they ask for
- 5 or more years of relevant Compliance Testing or Audit experience within a registered US broker dealer or regulator, focused on capital markets or investment banking.
- Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations.
- Proficiency in Word, Excel and PowerPoint.
- Strong analytical, communication, organizational, project management, and stakeholder-partnership skills.
Nice to have
- JD degree.
Pay
$100,000 - $135,000 USD (base salary)
Tools
Word, Excel, PowerPoint
Model-written summary · the original posting is authoritative