Senior FCRM Compliance Officer - Prime Brokerage Oversight

Support oversight activities for the US Prime Brokerage business, including new business and product initiatives, customers, and transactions.,Develop working relationships with line of business and operational support partners by providing oversight guidance.,Timely recognition and escalation of issues or concerns.,Assist with onboarding inquiries for prospective US Prime Brokerage customers.,Advise Investigations' reviews of potentially suspicious activity, providing subject-matter knowledge.,Gain working knowledge of other business lines within the TDS space.,Participate in the annual enterprise-wide AML/BSA/Sanctions/ABAC risk assessment process.,Conduct targeted AML/OFAC training.,Conduct periodic testing of AML functions.,Participate in special projects, including adherence to enterprise-wide initiatives.,Assist with regulatory and audit requests.,Provide backup to general AML compliance functions (surveillance reviews, section 312 reviews, TD affiliates due diligence reviews).,Complete all tasks within required timeframes.,Demonstrate governance, control and risk management behaviors aligned with TD policies and practices.,Provide advice, guidance and support to business units in adhering to regulatory/compliance requirements.,Assist in implementing compliance initiatives to help manage regulatory risk.

Bachelor’s degree (or equivalent combination of relevant education and experience).,5 to 7 years of knowledge and experience in FCRM compliance, preferably within the prime brokerage division of a large financial institution.,Strong verbal and written communication skills.,Detailed-oriented nature.,Strong subject matter knowledge of compliance risks and controls for a financial institution, with a focus on Anti-Money Laundering compliance.,Ability to identify and evaluate potential risks to the Firm and escalate accordingly.,Project management and strategic thinking skills.,Working knowledge of one or more sanctions screening and AML surveillance applications is desirable.,Proficiency with Microsoft Word, Excel, and PowerPoint.

Bachelor's Degree

Occasional Domestic Travel, Continuous performance of sedentary work, multiple tasks, operating standard office equipment, concentrating for long periods, applying common sense, reading, writing, comprehending instructions, adding, subtracting, multiplying and dividing.