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:
We are looking to hire a new Vice President, Compliance at TD Securities (US) to be a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. The VP Compliance TDS will also support other aspects of the Core Compliance program as needed.
Compliance Monitoring and Testing
Develop and design annual and cycle-based Compliance Testing and Monitoring plans
Execute the annual Compliance Testing plan.
Determine test scopes, and design and develop effective test strategies and approaches.
Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards.
Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings.
Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge.
Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews.
Oversee remediation of gaps identified in the Testing or Monitoring activities.
Identify areas for enhanced Monitoring, Testing or training.
Core Compliance
Design and develop Testing and Monitoring metrics, and contribute to department reporting
Support issues management development and tracking of Compliance-identified findings.
Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
Work closely with other support functions and the business areas to support a culture of compliance across the firm.
Participate in special projects as they arise to enhance Compliance functions.
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
Preferred Qualifications:
7+ years of experience with a registered US broker dealer, regulator, or global financial organization.
JD degree desirable but not required.
Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution.
Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them.
Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
Client service skills 6 the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction.
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.
A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
Proficient in Word, Excel and PowerPoint
*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
- 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
Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel 6 Occasional
- International Travel 6 Never
- Performing sedentary work 6 Continuous
- Performing multiple tasks 6 Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds 6 Occasional
- Sitting 6 Continuous
- Standing 6 Occasional
- Walking 6 Occasional
- Moving safely in confined spaces 6 Occasional
- Lifting/Carrying (under 25 lbs.) 6 Occasional
- Lifting/Carrying (over 25 lbs.) 6 Never
- Squatting 6 Occasional
- Bending 6 Occasional
- Kneeling 6 Never
- Crawling 6 Never
- Climbing 6 Never
- Reaching overhead 6 Never
- Reaching forward 6 Occasional
- Pushing 6 Never
- Pulling 6 Never
- Twisting 6 Never
- Concentrating for long periods of time 6 Continuous
- Applying common sense to deal with problems involving standardized situations 6 Continuous
- Reading, writing and comprehending instructions 6 Continuous
- Adding, subtracting, multiplying and dividing 6 Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
