Senior Compliance Officer – Compliance Oversight Program

Senior Compliance Officer at TD Securities implementing Compliance Oversight programs and evaluating Risk Owner activities. Collaborating globally to ensure adherence to legal regulations and compliance standards.

Posted 6/10/2026full-timeNew York City • New York • 🇺🇸 United StatesSenior💰 $100,000 - $135,000 per yearWebsite

About the role

Key responsibilities & impact

Develop, implement, and coordinate the Compliance Oversight program
Evaluate program design elements, analyze Risk Owner testing and monitoring routines
Collaborate with colleagues globally to evaluate and coordinate with Risk Owners
Monitor and communicate program effectiveness to stakeholders and senior management

Requirements

What you’ll need

BA/BS or a similar degree required
JD desirable but not required
5 or more years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator
Knowledge of global security and derivative products, markets and systems at financial institutions
Excellent interpersonal, organizational, leadership and communication (oral and written) skills
Strong analytical skills with attention to detail
Proficient in Excel, Word, PowerPoint and SharePoint.

Benefits

Comp & perks

Health insurance
401(k) matching
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development and reward and recognition programs

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

program designrisk analysiscompliance oversightmonitoring routinesanalytical skillsattention to detail

Soft Skills

interpersonal skillsorganizational skillsleadership skillscommunication skills

Certifications

BA/BSJD