636 Banking Compliance jobs in the United States

**Work Location** :
New York, New York, United States of America
**Hours:**
40
**Line of Business:**
Compliance
**Pay Detail:**
$150,000 - $185,000 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:**
We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President will assist in the management of the firms compliance program supporting all corporate investment banking Functions including Debt and Equity Capital Markets.
**Responsibilities:**
+ Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of equity and debt securities.
+ Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific.
+ Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions.
+ Ensure day-to-day activities of the Investment Banking Compliance team are in a manner consistent with the Bank's risk culture and the relevant risk appetite statement and limits.
+ Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact.
+ Participate in industry groups and trade association working groups or other forums.
+ Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams/individuals for appropriate remediation or corrective actions as required.
+ Assist with development and delivery of training program for front office personnel and relevant control personnel.
**Position Requirements**
+ 5-7+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
+ Experience in providing legal, regulatory or compliance advice to Markets sales and trading
+ Knowledge of Corporate Investment Banking and Capital Markets
+ Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC.
+ Excellent oral and written communication skills.
+ Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment.
+ Ability to project confidence and professionalism in dealings with senior business personnel.
+ Strong knowledge of technology infrastructure and global booking models
+ Ability to work on multiple projects in a fast paced environment
+ Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally;
+ JD a plus
**Depth & Scope:**
+ Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
+ Subject matter expert for a functional area
+ Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
+ Focuses on short to mid- range planning (e.g. 6-12 months)
+ Manages regulatory reviews including inquiries, audits, and exams
**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 ( 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**
TD 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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Our Commercial Banking, Corporate Compliance team is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury Payment Solutions, including Commercial Deposits, Investments and Credit Cards for the US and Canada jurisdictions. You will also be able to partner with the line of business on the design, implementation and monitoring and testing of their controls, conduct risk assessments, and manage oversight of regulatory compliance issues. We partner with the business to prepare them for regulatory exams and provide advisory support in managing regulatory compliance risk.**
**Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.**
**Builds effective professional relationships with business line, other internal/external stakeholders and regulators on the initial stages of investigations.**
**Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.**
**Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.**
**Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.**
**Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.**
**Analyses and reports compliance information to Compliance and business/group management.**
**Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported.**
**Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.**
**Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.**
**Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.**
**Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.**
**Analyzes and reports compliance information to Compliance and business/group management.**
**Advises first line of defense management and employees on compliance matters.**
**Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.**
**Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.**
**Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.**
**Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.**
**Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations.**
**Provides regulatory perspective on business group's sales and marketing materials.**
**Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.**
**Builds effective professional relationships with business/groups.**
**Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.**
**Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.**
**Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.**
**Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.**
**Exercises judgment to identify, diagnose, and solve problems within given rules.**
**Works independently on a range of complex tasks, which may include unique situations.**
**Broader work or accountabilities may be assigned as needed.**
**Qualifications:**
**Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.**
**Recognized compliance certificate (CMA)or equivalent preferred.**
**Proficient knowledge of consumer protection and related marketing and advertising guidelines.**
**Proficient level of knowledge of a compliance field.**
**Strong knowledge of business operations & procedures, and activities involving documented practices.**
**Proficient in communication, critical thinking, relationship management and project management skills.**
**Technical proficiency gained through education and/or business experience.**
**Verbal & written communication skills - In-depth.**
**Collaboration & team skills - In-depth.**
**Analytical and problem solving skills - In-depth.**
**Influence skills - In-depth.**
**Data driven decision making - In-depth.**
**Work model 4 days in office starting September**
**The salary range is for the Chicago market and will vary based off locations**
**Salary:**
$63,300.00 - $117,200.00
**Pay Type:**
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: Us**
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.

Application Deadline:

09/04/2025

Address:
320 S Canal Street

Job Family Group:
Audit, Risk & Compliance

Our Commercial Banking, Corporate Compliance team is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury Payment Solutions, including Commercial Deposits, Investments and Credit Cards for the US and Canada jurisdictions. You will also be able to partner with the line of business on the design, implementation and monitoring and testing of their controls, conduct risk assessments, and manage oversight of regulatory compliance issues. We partner with the business to prepare them for regulatory exams and provide advisory support in managing regulatory compliance risk.

• Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.
• Builds effective professional relationships with business line, other internal/external stakeholders and regulators on the initial stages of investigations.
• Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
• Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
• Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.
• Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.
• Analyses and reports compliance information to Compliance and business/group management.
• Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported.
• Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.
• Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
• Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
• Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.
• Analyzes and reports compliance information to Compliance and business/group management.
• Advises first line of defense management and employees on compliance matters.
• Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
• Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.
• Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.
• Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.
• Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations.
• Provides regulatory perspective on business group's sales and marketing materials.
• Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.
• Builds effective professional relationships with business/groups.
• Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
• Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.
• Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.
• Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
• Exercises judgment to identify, diagnose, and solve problems within given rules.
• Works independently on a range of complex tasks, which may include unique situations.
• Broader work or accountabilities may be assigned as needed.
  Qualifications:
• Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
• Recognized compliance certificate (CMA)or equivalent preferred.
• Proficient knowledge of consumer protection and related marketing and advertising guidelines.
• Proficient level of knowledge of a compliance field.
• Strong knowledge of business operations & procedures, and activities involving documented practices.
• Proficient in communication, critical thinking, relationship management and project management skills.
• Technical proficiency gained through education and/or business experience.
• Verbal & written communication skills - In-depth.
• Collaboration & team skills - In-depth.
• Analytical and problem solving skills - In-depth.
• Influence skills - In-depth.
• Data driven decision making - In-depth.

Work model 4 days in office starting September
The salary range is for the Chicago market and will vary based off locations

Salary :

$63,300.00 - $117,200.00

Pay Type:
Salaried

The above represents BMO Financial Group's pay range and type.

Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.

BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit:

About Us

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.

To find out more visit us at

BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.

BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.

Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.

Our Commercial Banking, Corporate Compliance team is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury Payment Solutions, including Commercial Deposits, Investments and Credit Cards for the US and Canada jurisdictions. You will also be able to partner with the line of business on the design, implementation and monitoring and testing of their controls, conduct risk assessments, and manage oversight of regulatory compliance issues. We partner with the business to prepare them for regulatory exams and provide advisory support in managing regulatory compliance risk.

Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.

Builds effective professional relationships with business line, other internal/external stakeholders and regulators on the initial stages of investigations.

Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.

Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.

Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.

Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.

Analyses and reports compliance information to Compliance and business/group management.

Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported.

Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.

Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.

Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.

Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.

Analyzes and reports compliance information to Compliance and business/group management.

Advises first line of defense management and employees on compliance matters.

Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.

Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.

Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.

Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.

Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations.

Provides regulatory perspective on business group's sales and marketing materials.

Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.

Builds effective professional relationships with business/groups.

Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.

Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.

Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.

Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.

Exercises judgment to identify, diagnose, and solve problems within given rules.

Works independently on a range of complex tasks, which may include unique situations.

Broader work or accountabilities may be assigned as needed.

Qualifications:

Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.

Recognized compliance certificate (CMA)or equivalent preferred.

Proficient knowledge of consumer protection and related marketing and advertising guidelines.

Proficient level of knowledge of a compliance field.

Strong knowledge of business operations & procedures, and activities involving documented practices.

Proficient in communication, critical thinking, relationship management and project management skills.

Technical proficiency gained through education and/or business experience.

Verbal & written communication skills - In-depth.

Collaboration & team skills - In-depth.

Analytical and problem solving skills - In-depth.

Influence skills - In-depth.

Data driven decision making - In-depth.

Work model 4 days in office starting September

The salary range is for the Chicago market and will vary based off locations

Salary:

$63,300.00 - $117,200.00

Pay Type:

Salaried

The above represents BMO Financial Group's pay range and type.

Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.

BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit:

About Us

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.

To find out more visit us at

BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.

BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.

Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.

**Our Commercial Banking, Corporate Compliance team is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury Payment Solutions, including Commercial Deposits, Investments and Credit Cards for the US and Canada jurisdictions. You will also be able to partner with the line of business on the design, implementation and monitoring and testing of their controls, conduct risk assessments, and manage oversight of regulatory compliance issues. We partner with the business to prepare them for regulatory exams and provide advisory support in managing regulatory compliance risk.**
**Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.**
**Builds effective professional relationships with business line, other internal/external stakeholders and regulators on the initial stages of investigations.**
**Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.**
**Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.**
**Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.**
**Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.**
**Analyses and reports compliance information to Compliance and business/group management.**
**Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported.**
**Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.**
**Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.**
**Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.**
**Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.**
**Analyzes and reports compliance information to Compliance and business/group management.**
**Advises first line of defense management and employees on compliance matters.**
**Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.**
**Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.**
**Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.**
**Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.**
**Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations.**
**Provides regulatory perspective on business group's sales and marketing materials.**
**Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.**
**Builds effective professional relationships with business/groups.**
**Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.**
**Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.**
**Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.**
**Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.**
**Exercises judgment to identify, diagnose, and solve problems within given rules.**
**Works independently on a range of complex tasks, which may include unique situations.**
**Broader work or accountabilities may be assigned as needed.**
**Qualifications:**
**Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.**
**Recognized compliance certificate (CMA)or equivalent preferred.**
**Proficient knowledge of consumer protection and related marketing and advertising guidelines.**
**Proficient level of knowledge of a compliance field.**
**Strong knowledge of business operations & procedures, and activities involving documented practices.**
**Proficient in communication, critical thinking, relationship management and project management skills.**
**Technical proficiency gained through education and/or business experience.**
**Verbal & written communication skills - In-depth.**
**Collaboration & team skills - In-depth.**
**Analytical and problem solving skills - In-depth.**
**Influence skills - In-depth.**
**Data driven decision making - In-depth.**
**Work model 4 days in office starting September**
**The salary range is for the Chicago market and will vary based off locations**
**Salary:**
$63,300.00 - $117,200.00
**Pay Type:**
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: Us**
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.

**Work Location** :
New York, New York, United States of America
**Hours:**
40
**Line of Business:**
Compliance
**Pay Detail:**
$185,000 - $225,000 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:**
We are looking for a Director, US Markets Compliance Advisory to join our team in New York City. The ideal candidate must have compliance advisory experience in the Global Transaction Banking Space supporting a wholesale client base. Including knowledge of the regulatory framework supporting businesses such as Global Trade Finance and Payments & Corporate Cash Management. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. In addition, this individual will be responsible for management of individuals covering these Business lines from a Compliance perspective today.
The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.
**Responsibilities:**
+ Provide day to day advice to the Global Transaction Banking Business
+ Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
+ Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
+ Draft, update, and implement relevant policies and procedure.
+ Provide regulatory/compliance training.
+ Assist the business on implementing and documenting various supervisory/control mechanisms.
+ Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
+ Interact with federal and state regulators
+ Ensure appropriate LRRs and Controls are mapped to the Business
+ Conduct compliance risk assessments to ensure effective business control framework
+ Analyze new regulations and conduct business-based analysis and execute requite implementation.
+ Provide ongoing reporting to senior management
+ Develop and deliver proactive strategies and tactics that support compliance/business objectives
**Depth & Scope**
+ Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
+ Position deals with senior/executive management.
+ Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
+ Focuses on longer-range planning for functional area (e.g. 12 months or greater).
+ Manages and prioritizes multiple projects at a given time.
**Preferred Qualifications:**
+ Approximately 10+ years of advisory experience.
+ Significant experience in providing legal, regulatory or compliance advice to Global Transaction Banking Businesses specifically including Wholesale counterparties.
+ Familiarity with Bank Regulations such as Title 12.
+ Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED and OCC.
+ Excellent oral and written communication skills.
+ Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment.
+ Ability to project confidence and professionalism in dealings with senior business personnel.
+ Strong knowledge of technology infrastructure and global booking models
+ Ability to work on multiple projects in a fast paced environment
+ Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally;
+ JD a plus
**Education & Experience:**
+ Bachelors degree or progressive work experience
+ 7-10 years related experience
**Physical Requirements:**
Never: 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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
**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 ( 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**
TD 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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

General Information

Country

United States

City

Boston

Department

Finance

Posted

15-Jan-2024

Working Time

Permanent - Full-time

Description and Requirements

We are looking for a Compliance Officer to ensure that our operations and business transactions follow all relevant legal and internal rules. You will also review employees' work and provide advice on compliance.

To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with risk management and our industry's standards. If you also have a sharp business acumen, we'd like to meet you.

Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.

Responsibilities:

• Develop and implement an effective legal compliance program
• Create sound internal controls and monitor adherence to them
• Draft and revise company policies
• Proactively audit processes, practices and documents to identify weaknesses
• Evaluate business activities (e.g. investments) to assess compliance risk
• Collaborate with external auditors and HR when needed
• Set plans to manage a crisis or compliance violation
• Educate and train employees on regulations and industry practices
• Address employee concerns or questions on legal compliance
• Keep abreast of internal standards and business goals

Requirements:

• Proven experience as a Compliance Officer or Compliance Manager
• Experience in risk management
• Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
• Familiarity with industry practices and professional standards
• Excellent communication skills
• Integrity and professional ethics
• Business acumen
• Teamwork skills
• Attention to detail
• BSc/BA in law, finance, business administration or a related field
• Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus

• Identify, develop, and evaluate marketing strategy, based on knowledge of our company's objectives, market characteristics, and cost and markup factors.
• Evaluate the financial aspects of product development, specifically budgets, expenditures, research and development appropriations, and return-on-investment and profit-loss projections.
• Formulate, direct and coordinate marketing activities and policies to promote products and services, working with advertising and promotion managers.
• Direct the hiring, training, and performance evaluations of marketing and sales staff and oversee their daily activities.
• Negotiate contracts with vendors and distributors to manage product distribution, establishing distribution networks and developing distribution strategies.

Compliance Officer | Troy, MI

Growing investment advisory firm seeks experienced Compliance Officer to join their team to provide regulatory support.

Responsibilities:
Monitor and interpret regulatory developments, ensure the firm's operations are compliant with all rules/regulations
Develop, update, and implement compliance policies/procedures to mitigate risk and maintain a robust compliance framework
Conduct risk assessments to identify potential compliance vulnerabilities and develop strategies to mitigate these risks
Provide compliance training to investment advisors, ensuring a thorough understanding of regulatory requirements and best practices
Perform internal audits and reviews to assess compliance with established policies and procedures
Prepare reports for management and regulatory bodies, documenting compliance efforts, violations, and resolutions

Requirements:
Bachelor's degree
10+ years compliance experience
Series 65 license
Strong understanding of financial regulations (SEC, FINRA, etc.)
Excellent analytical skills with an ability to interpret complex regulations and assess their impact on the business
Exceptional communication/interpersonal skills to collaborate with members of the investment team
Detail-oriented with a proactive approach to identifying and addressing compliance issues

**ManTech** seeks a motivated, career and customer-oriented **Compliance Officer** to join our team in the **Belcamp, MD** . This is an onsite position.

The **Compliance Officer** will work in support of the Army for the Network Modernization & Mission Network Technical Service Support program (NetMod). NetMod sets forth the work efforts required to provide product technical support services for systems and equipment being produced, fielded, modified or supported by PdM Network Modernization (NetMod) and PdM Mission Network of the Project Manager (PM) Tactical Network (TN) of the Program Executive Office for Command Control and Communications-Tactical (PEO C3T). This support may also include future systems and equipment that is acquired for the Army to maintain its technological advantage.

**Responsibilities include but are not limited to:**

+ Ensure the program operates within all applicable laws, regulations, and internal policies by monitoring activities, identifying potential compliance risks, investigating issues, and implementing corrective actions to maintain adherence to legal and ethical standards.

+ Regularly reviewing company operations, practices, and documentation to identify potential compliance risks across various program areas.

+ Creating and maintaining comprehensive compliance policies and procedures, including training materials, to educate employees on relevant regulations and program standards.

+ Conduct risk assessments to identify high-priority compliance areas and prioritize mitigation strategies.

+ Perform regular internal audits to verify compliance with established policies and procedures, documenting findings, and recommending corrective actions.

+ Communicate compliance concerns to senior management, including regular updates on compliance status and potential risks.

**Basic Qualifications:**

+ Requires a Bachelors of Science / Bachelors of Administration from an accredited university

+ 10+ years of relevant management experiences as an analyst.

+ 5+ years of relevant DoD contracting experience.

+ Deep understanding of relevant laws, DoD/US Army regulations, and industry standards.

+ Experience and understanding of processes of investigating potential compliance violations or complaints, gathering evidence, and taking appropriate actions when necessary.

+ Analyzing data to pinpoint inefficiencies, bottlenecks, or areas where improvements can be made.

+ Strong ability to interpret data, identify patterns, and draw meaningful conclusions.

+ Excellent written and verbal communication skills to present findings effectively.

**Preferred Qualifications:**

+ Ability to assess complex situations, identify potential risks, and interpret data.

+ Experience preparing procedures and training on concepts and guidelines.

+ Experience analyzing operations within a specific company, such as finance, operations, or human resources.

+ Experience delivering compliance training programs to employees at all levels to raise awareness of ethical conduct and regulatory requirements.

**Clearance Requirements:**

+ Must have an active Secret clearance.

**Physical Requirements:**

+ Must be able to remain in a stationary position 50% of the time.

+ Needs to occasionally move about inside the office to access file cabinets, office machinery, etc.

+ Frequently communicates with co-workers, management, and customers, which may involve delivering presentations. Must be able to exchange accurate information in these situations.

ManTech International Corporation, as well as its subsidiaries proactively fulfills its role as an equal opportunity employer. We do not discriminate against any employee or applicant for employment. 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.

If you are a qualified individual with a disability and require a reasonable accommodation to apply for a position with ManTech through its online applicant system, please email us at and provide your name and contact information.