Vice President - Compliance, Monitoring and Testing Data Analytics and Reporting - TDS

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$140,000 - $185,000 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:

Preferred Qualifications:

TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new programs and enhancements to existing programs in order to support its strong risk culture and strategic approach to managing regulatory compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will manage ongoing Compliance risk coverage planning that will support the Compliance Monitoring & Testing (M&T) program. Additionally, this role will be responsible for building out Reporting Modules to show the applicability and coverage of the M&T Branch on a regular and ongoing basis. Additionally, this role will also support the Compliance Branch Inspections Risk Assessment process and perform overall reporting for the Branch Inspections program.

Key responsibilities include (but are not limited to): project management over the M&T process (including  Branch Inspections); development of a new dashboard or platform to coverage of the M&T and Branch Inspections plan; support issues management and tracking for the M&T and Branch Inspections programs (and Core Compliance overall).

Depth & Scope:

Regulatory Compliance Management (RCM) Program Management and Data Analytics.

• Support the development and maintenance of the Firm's Monitoring and Testing Coverage Plan, which includes data review and analysis to harmonize with the overall rules inventory, control and business mappings and Risk Assessment ratings.
• Partner closely with the Risk Assessment and Compliance Markets Advisory teams, as necessary, to create a cohesive pipeline between the Risk Assessment program and the Monitoring & Testing program.
• Develop dashboard to track monitoring and testing activities and plan progress throughout the review cycle.
• Partner closely with the M&T and Branch Inspections teams to continuously monitor reviews being conducted and completed.
• Manage the reporting and metrics deliverables related to the Monitoring & Testing and Branch Inspections teams.
• Support technology and automation initiatives for Core Compliance, where possible
• Participate in ad hoc special projects.

Education & Experience:

• BA/BS, or a similar degree, required.
• 5-7 Years of related experience
• Advanced technical skills, especially with Microsoft Office Suite (Excel, Access, PowerPoint, Word, Visio)
• Data visualization (e.g., Tableau, Qlikview, etc.), preferred.
• Big data (e.g., SQL, Alteryx, Dataiku, etc.) a plus, but not required.
• 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.
• 6 or more years of experience with a registered US broker dealer or regulator.
• Knowledge of wholesale banking products and services, operations, regulatory frameworks (e.g., applicable rules and regulations), and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, 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.
• 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.

The VP Compliance TDS oversees/leads a team(s) of specialists/profes