Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)

Preferred Qualifications: This Senior Compliance Officer is a key member of the TD Securities - US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as needed. Depth & ScopeAssist with developing and executing the annual Compliance Testing and Monitoring plan Determine scope of reviews; build detailed review steps; organize documentary evidence of review Execute testing engagements, and prepare reports to document exceptions and action plans Communicate deficiencies to the business and key stakeholders, and exercise credible challenge. Oversee remediation of gaps identified in the testing process Build relationships with key stakeholders globally Assist in identifying areas for enhanced Monitoring, Testing or training Core Compliance Develop Testing and Monitoring metrics, and contribute to department reporting Support issues management development and tracking of Compliance-identified findings Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses Participate in special projects as they arise to enhance compliance functions Work closely with other support functions and the business areas to support a culture of compliance across the firm Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments

Education & Experience: BA/BS or a similar degree required. JD degree desirable, but not required 5 or more years of relevant experience in Compliance Testing or Audit within a registered US broker dealer or regulator, with a focus on capital markets or investment bank (wholesale banking). Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them. Excellent interpersonal, organizational, leadership 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. 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. 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. Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size. A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm. Proficient in Word, Excel and PowerPoint General Job DescriptionThe 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 & ScopeWorks 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)

Education & Experience: Bachelors degree or progressive work experience 5-7 Years of related experience Physical RequirementsNever: 0% Occasional: 1-33% Frequent: 34-66% Continuous: 67-100% Domestic Travel – Occasional International Travel – Never Performing sedentary work – Continuous Performing multiple tasks – Continuous Operating standard office equipment - Continuous Responding quickly to sounds – Occasional Sitting – Continuous 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 forward – Occasional Pushing – Never Pulling – Never Twisting – Never Concentrating for long periods of time – Continuous Applying common sense to deal with problems involving standardized situations – Continuous Reading, writing and comprehending instructions – Continuous Adding, subtracting, multiplying and dividing – Continuous

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 strive to make every interaction, product and experience remarkably human and refreshingly simple. 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. Together, we are reimagining what banking can be for our clients, colleagues and communities. Our Total Rewards PackageOur 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 moreAdditional 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 DevelopmentIf 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. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best. Training & OnboardingWe will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. AccommodationTD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, 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 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 applicant process. US Labor & Employment Posters | California Privacy | Accessibility | FAQThe Values at TDAt 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 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. Our Commitment to Diversity, Equity, and InclusionAt 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. Helping to Make an Impact in Communities – TD Ready CommitmentTD 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 C$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. Learn more: Canada | US | Europe & Asia Pacific