Compliance Officer II - Global Counterparty Credit, TD Securities Job at TD Bank
TD Description
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. www.td.com
Department Overview
Job Description
Job Requirements
- Retrieves all compliance, financials, and loan documentation from Intralinks, Syndtrak, DebtDomain, DebtX, SEC and SEDAR
- Creates profiles in the internal system (Loan IQ) for the receipt of compliance certificates and financial statements
- Updates internal system for the receipt of compliance and financials for credit facilities
- Inputs and verifies compliance calculations on compliance tracking sheet to ensure accuracy and no default has occurred
- Creates quarterly compliance package (certificate, compliance tracking sheet, financials) and distribute to lending managers for review and sign-off
- Investigates and provides any outstanding items to relevant stakeholder groups involved in the administration and management of credit facilities
- Maintains on-line storage for legal documentation
- Updates annual review and client master account lists
Qualifications
- 3+ years relevant experience preferred
- Strong project management skills and demonstrated experience
- Solid organizational skills including attention to detail and multi-tasking skills
- Excellent written and verbal communication skills
- Pro-active in developing and implementing strategies that significantly mitigate risk
- Demonstrates superior inter-personal skills, conflict resolution, and negotiating skills
- Experience in a large complex/matrix organization
- Flexible and able to quickly adapt to unfamiliar, ambiguous, or changing conditions
- Excellent analytical, problem solving, relationship management skills
- Ability to work on multiple concurrent projects as and when required
Inclusiveness
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.
If you are a candidate with a disability and need an accommodation to complete the application process, email the 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 application process.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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