Director, Compliance, Global Control Room - Initiatives & Portfolio Management

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$150,000 - $250,000 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:

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.

Key Responsibilities:

• Equity Aggregation: Oversee the TDS Equity Aggregation portfolio within the Global Control Room.  Review and update procedures and work with key stakeholders across the different TD Bank entities and systems to assure TDS positions are reported on time.

• Reporting: With the Global Head and key stakeholders:  assist with leading oversight /governance committees for the Global Control Room; track and  report on the status of remediation and modernization initiatives across the various GCR portfolios; and enhance and streamline the current reporting across regional committees and boards (e.g., employee trading metrics, operational issues, and related reporting). Provide the leadership team with relevant Management Information, reporting, and support to ensure Global Control Room operational issues (e.g., vendor issues and Global Control Room outages) are appropriately managed, addressed, tracked, and reported on in governance.

• Global Control Room Portfolio Management: Work with the Head of Global Control Room, DDI, technology and key stakeholders (e.g., Communications Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.

• Issues Management: Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed (i.e., oversee progress of all internal and/or external audit issues relating to Global Control Room with key stakeholders).

• Quality Assurances: Enhance the existing QA process across the GCR in order to   identify  themes and emerging risks, process and escalation enhancement.  Timely reporting on findings and/or recommendations for enhancements, to the Global Head of Global Control Room and Compliance senior management.

• Global Control Room Portfolio Management: Work with the Head of Global Control Room, DDI, technology and key stakeholders (e.g., Communications Global Control Room Leads, Trade Global Control Room Leads, and Chief Compliance Officers globally) to develop clear deliverables, milestone, and project plans for remediation initiatives, new Global Control Room deployments, and Global Control Room enhancements.

• Global Control Room Procedures: Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.

• Regulatory Responses and Internal Audits: Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and exam inquiries as they relate to Global Control Room.

• Briefings and Presentations: Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Global Control Room to senior governance and Boards.  As needed, report in senior governance on the Global Control Room program.

• Program Enhancements: Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.

• Training: Work with the GCR Head and leads to develop appropriate training across all portfolios with the GCR.

• Tone at the Top: Work with the Global Control Room and Compliance leadership Team to set the Compliance culture, people development, and training.