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Technology Compliance Senior Analyst

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St Louis, Missouri, Southlake, Texas ID# 2018-21421 Regular Full-Time Second Level Professional


The Sr. Analyst, Technology Compliance will work closely with department management and engage directly with key cross-functional stakeholders across T2, Corporate Risk Management, Internal Audit and other relevant business groups supported by Technology Compliance in facilitating and supporting ongoing compliance activities.  The Sr. Analyst will be expected to develop strong relationships with its business partners, establishing themselves as a trusted “point-of-contact”, with the ability to evaluate, assess, and provide recommendations to management for further handling, and facilitating issue management to completion. 


  • Monitor proposed legal and regulatory changes; Review legal or regulatory changes under the guidance of management; Maintain databases and records to demonstrate an effective process to identify key requirements; Coordinate with business units and other risk partners to prevent gaps in firm policies and procedures to mitigate risk associated with legal and regulatory requirements; Prepare reporting for management, as needed.
  • Assist stakeholders with the identification, understanding, and development of processes, policies, procedures, and controls that effectively demonstrate compliance with regulatory obligations related to technology matters.
  • Perform or assist with Incident Assessment Reviews in connection with monitoring and reporting upon systems incidents and cybersecurity events. Provide recommendations to Technology Compliance management and the Regulatory Response team with respect to the firm’s response to regulatory inquiries regarding systems incidents or other technology matters. 
  • Support technology risk controls self-assessments or, as appropriate, other risk assessments of T2 functional areas. 
  • Monitor and report to Technology Compliance management on the development of Action Plans to remediate observations identified as a result of internal or external assessments, internal audits, regulatory exams.
  • Under the guidance of Technology Compliance management, execute and maintain a data analytics and reporting program that can be used to inform decision-making, identify technology risk, assist with prioritization, and drive analysis and action by Compliance and business stakeholders.
  • Identify relevant data sets, including developing or onboarding any necessary databases or other technologies; identifying and developing a User interface; establishing queries and metrics; and developing and automating user dashboards and reporting.
  • Work with the business and other Compliance team members to develop tolerances and thresholds, as needed, for data elements, along with escalation protocols.
  • Conduct analysis, formulate insights, and synthesize findings for presentation to Compliance team members and other stakeholders.
  • Serve as a “point-of-contact” for internal Compliance requests; Perform evaluations, assessments, and provide recommendations to management for further handling; and Facilitate issue management to completion (e.g., OBA’s, PSTs, Licensing & Registration requirements, and other departmental reviews/inquires, as needed).
  • Support technology initiatives throughout the organization; Conduct research, as needed; and Provide advice and guidance regarding industry standards and best practices to ensure compliance with regulatory requirements.
  • Assist with implementing Technology Compliance Program infrastructure (i.e., reporting mechanisms, desk-top procedures, training and awareness outreach, department intake processes and issue tracking); 
  • Develop training and awareness materials to support Department initiatives and outreach efforts; Manage Technology Compliance Confluence Page, intranet site and other communication channels, as needed.


  • 2-4 years of experience in Information Technology risk management.
  • In-depth skills in and understanding of technology standards and frameworks such as ISO27001, NIST, COBIT, FFIEC and technology best practices.
  • Expert knowledge of IT processes and systems.
  • Proficient knowledge of compliance and governance practices.
  • Proficient knowledge of risk assessment and mitigation techniques.
  • Proficient knowledge of identifying technology-related risks, including those associated with emerging technologies, and developing mitigation steps, and implementing remediation.
  • Expert analytical and organizational skills to optimize processes and procedures.
  • Demonstrated ability to generate reports for management consumption.
  • Experience working in financial services industry is preferred, along with a general understanding of standards, laws and regulations applicable to financial services companies, specifically with respect to broker-dealers and investment advisors.
  • Strong communication skills, both written and verbal, with an ability to converse at a technical level, while at the same time, explain complex technology issue to non-technology personnel.
  • Highly self-motivated and able to work independently under tight deadlines in a dynamic environment with competing demands for resources with a proven track record for delivering results.  
  • Excellent attention to detail.  
  • Capability of handling multiple complex issues utilizing a variety of systems and resources.
  • Ability to enforce company policies in accordance with applicable regulations and procedures.  
  • Must possess ability to set the example in all facets of support and professional conduct. 
  • Military education or experience may be considered in lieu of civilian requirements listed

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A leader in brokerage and investment services for over 35 years, TD Ameritrade offers a full spectrum of powerful solutions and innovative tools for trading and investing. We're constantly expanding our knowledge and bolstering our capabilities, from a leading active trader program to intuitive long-term investment solutions and a national branch system. Combined with some of the industry's brightest minds, there's no limit to how big our accomplishments can be.

From first-time investors to sophisticated traders, TD Ameritrade is focused on helping individuals seek out their financial goals. And you're the ambassador to all that we do. Beginning with our trading platform and proprietary technology to our resolve to outperform, you'll maintain the high level of quality and integrity we're known for, each and every day. With the right opportunity, there's no limit to what you can accomplish.

As a leading employer in financial services, we believe in building strong relationships, achieving quality results and working with integrity. It's at the heart of everything we do. That's why we provide you with comprehensive training, benefits and programs that inspire you to achieve more every day. Apply to a TD Ameritrade job today and help our clients pursue their dreams, while you fulfill yours.

Applicants must be eligible to work in the U.S. Immigration sponsorship is typically not available for this position.

TD Ameritrade participates in the E-Verify program. For additional information on this program please click here. TD Ameritrade is an Equal Opportunity Employer. We value diversity and offer a quality workplace. TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ:AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company and the Toronto-Dominion Bank.

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