VP, Compliance - Regulatory Initiatives - Policies and Procedures, TD Securities

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$140,000 - $180,000 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 VP 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:

• Assist in drafting and maintaining comprehensive suite of regulatory Compliance policies and procedures

• Coordinate with stakeholders and subject matter experts on policy and procedure development

• Assist in establishing governance and reporting for policy and procedure review and approval

• Support the development and deployment of enhanced policy and procedure portal

• Maintain policy and procedure portal

• Communicate policy and procedure updates to impacted stakeholders, including new hires

• Active participation in ongoing remediation efforts in particular with respect to policy and procedure related deliverables

• Participate in regulatory change management and business-related processes to ensure policy and procedures materials are kept current

• Assist in responding to internal and external audit requests

• Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Compliance policy and procedure initiatives to senior management, relevant boards and external stakeholders

• Participate in special projects as needed

Depth & Scope:

• Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists

• Subject matter expert for a functional area

• Key contact for business management, regulators and external/internal auditors, dealing with non-routine information

• Focuses on short to mid- range planning (e.g. 6-12 months)

• Manages regulatory reviews including inquiries, audits, and exams

Education & Experience:

• Bachelors degree or progressive work experience

• 5-7 Years of related experience

Preferred Qualifications:

• JD desirable but not required.

• 5-7 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.

• Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus.

• Firm understanding of financial product rules and regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations. A willingness to learn new regulatory areas impacting products, behaviors and market participants.

• Knowledge of trade and communications surveillance tools and vendors for detecting market abuse and manipulation.

• Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation.

• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.

• Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.

• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues.

• Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations. 

• Advanced