Vice President - Compliance Risk Assessment and Data Analytics

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 the Risk Assessment process within the RCM Framework; key responsibilities include (but are not limited to): project management over the RCM Risk Assessment process; development of a new dashboard or platform to analyze risk ratings for changes and anomalies, and; ongoing support of the Risk Assessment roadmap to support Monitoring & Testing (M&T) coverage efforts

Depth & Scope:

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

• Support the TD Securities US Risk Assessment process to include managing the workflow for ratings and related data flows.
• Develop and continuously support the new Risk Assessment dashboard, which is intended to provide insights into business, regulatory rules, and ratings changes, as well as related controls.
• Manage the reporting and metrics deliverables related to the Risk Assessment.
• Provide input into the regulatory rules inventory for applicable TD Securities US businesses.
• Support and challenge the Firm's control mapping to applicable rules.
• Partner closely with the Compliance Advisory team for the Risk Assessment and other efforts.
• 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/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

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)
• Man