VP - Compliance TDS (US) Data Infrastructure and Reporting

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$150,000 - $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:

Preferred Qualifications:

TD Securities' Regulatory Compliance Management (RCM) Framework has implemented new programs and continues to enhance existing programs in order to support its strong risk culture and strategic approach in managing regulatory compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will develop the critical data infrastructure for RCM Programs and will serve as the unifying point for all of the disparate data across different RCM Programs. Additionally, the goal of this infrastructure is to support holistic and highly strategic reporting and visualizations of each RCM Program and the linkages between those Programs. Key responsibilities include (but are not limited to): project management over the RCM data infrastructure build; development of a new dashboard or platform to analyze data linkages and data flows between RCM Programs; ongoing support new vendor solutions or internal builds that will leverage the RCM data infrastructure.  

Depth & Scope

Regulatory Compliance Management (RCM) Data Infrastructure & Reporting

• Implement the TD Securities US Core Compliance Data Strategy, including the build-out of the data infrastructure that will underpin the strategy
• Develop reporting tools and visualizations leveraging the RCM data infrastructure to deliver strategic insights to a variety of audiences, including senior management
• Partner closely with Leads across RCM Programs (such as Monitoring & Testing, Risk Assessment, Regulatory Change, Regulatory Relations, Rules & Controls Inventory, and Reporting & Metrics) to operationalize the data for those programs
• Create robust data organization and reporting solutions across the Core Compliance programs
• Support business data collection and aggregation for the Compliance Monitoring & Testing (M&T) and various assessment processes
• Participate in ad hoc special projects

Education & Experience

• BA/BS, or a similar degree, required.
• Advanced technical skills, especially with Microsoft Power applications (e.g., Apps, Automate, Flow)
• Office Suite (Excel, Access, PowerPoint, Word, Visio), required
• 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.
• Working 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 projects.
• 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.

*General 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.

Depth & Scope:

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