Senior Compliance Officer – Monitoring and Testing

Assist 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.

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 to enhance compliance functions.

Work closely with other support functions and business areas to support a culture of compliance.

Contribute to annual compliance training requirements and regulatory change impact assessments.

BA/BS, or a similar degree, required.

5 or more years of experience with a registered US broker dealer or regulator.

JD desirable but not required.

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.

Bachelor's Degree