430217BR

　　Job Title:

　　VP - Compliance Control Room TDS

　　Company Overview:

　　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 behaviors. 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 empower you to make an impact at work and in your community, explore and grow your career, and be part of our caring and inclusive culture.

　　Making Your Well-being a Priority

　　A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars — physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best.

　　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.

　　How We Work

　　At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they’ll always have access to the TD community to experience our culture of care.

　　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.

　　Auto req ID:

　　430217BR

　　Country:

　　United States

　　Job Requirements:

　　Bachelor’s degree and 5-8+ years relevant experience.

　　Series 24 license required

　　Research clearance against Investment Banking transactions required.

　　A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards.

　　Excellent verbal and written communication skills and strong professional demeanor.

　　Proven ability to work well on teams, showing initiative, a positive attitude, and a willingness to work hard independently as well.

　　High level of ethical standards, integrity, and judgement.

　　Organized, self-motivated, detail and deadline oriented.

　　Ability to understand and analyze compliance issues and commercially provide effective tactical and strategic solutions.

　　Securities licenses preferred but not required.

　　Willing to work flexible hours in hybrid in-office/work from home model and occasional weekends.

　　Highly proficient in Microsoft Office, including the ability to work comfortably within Excel.

　　Hours:

　　40

　　Job Details:

　　TD Cowen is seeking a Compliance professional to join its Control Room team in the New York area as a hybrid in-office/work from home opportunity.

　　Maintain the Firm’s watch and restricted list on a regular basis.

　　Monitor interactions and communications between Research and Investment Banking.

　　Handle regulatory inquiries and conflict management.

　　Participate in regulatory exams and internal auditors.

　　Provide advice and guidance to business partners and make sound business decisions meeting clients' needs.

　　Inclusiveness:

　　Our Commitment to Diversity, Equity, and Inclusion

　　At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable 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.

　　EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

　　Accommodation

　　If you are a candidate with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

　　How We're Helping Make an Impact in Communities

　　TD has a long-standing commitment to help drive progress 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 $1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.

　　We look forward to hearing from you!

　　State:

　　New York

　　City:

　　New York

　　Work Location:

　　1 Vanderbilt Avenue TDS

　　Business Line:

　　TD Securities

　　Job Category - Primary:

　　Anti-Money Laundering / Compliance & Regulatory Relations

　　Job Category(s):

　　Anti-Money Laundering / Compliance & Regulatory Relations

　　State (Primary):

　　New York

　　City (Primary):

　　New York

　　Time Type:

　　Full Time

　　Employment Type:

　　Regular

　　Pay Range:

　　$160,000 - $187,250 annually

　　Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.