Director, Compliance - US Markets Global Transaction Banking Compliance Advisory, TD Securities

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 bes