TD
Vice President, Regulatory Compliance Management - TD Securities
TD, Asheville, North Carolina, us, 28814
Work Location :New York, New York, United States of AmericaHours : 40Line Of Business : CompliancePay Detail : TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. 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.Job Overview : TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. This position is a newly created role on the Core Compliance team to oversee and manage the implementation of key programs that support the RCM and assist with the integration of the newly acquired businesses and expansion of the Core Compliance program.Regulatory Compliance Management
Support the continued development of TDS US Compliance to meet the requirements of the RCM program which include: policies and procedures, regulatory inventory, issues management, control mapping, rules mapping, risk assessments and regulatory change.Provide centralized and streamlined coordination for the Spring and Fall Compliance Risk Assessment process for the TDS US Compliance team.Support the enhancements to the TDS US Compliance program to comply with regulatory expectations and to align where appropriate across global and US compliance programs.Support the Regulatory Change process.Implement and centralize issues management program and appropriate tracking/reporting of issues. Work closely with Monitoring and Testing team in issues management.Facilitate self-reporting of issues and analysis of observations/recommendations and whether they should be tracked.Manage aspects of the development and maintenance of the Firm's Regulatory Inventory and support Compliance in related activities including managing regulatory change business mapping, control mapping and automation.Oversee and coordinate updates to TDS Compliance Policies, Procedures and Standards.Centralize/oversee the application of the firm's in-house system to TDS US Compliance activities. The system is intended to support risk assessments, issues management, rules inventory, regulatory change, control mapping and monitoring and testing.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
Approximately 7 years experience in Compliance with a US broker dealer or regulator.Strong Knowledge of applicable securities laws, rules, and regulations with the ability to assess impact to the Firm. Specifically Fed, FINRA, SEC, CFTC, NYSE, MSRB, and OCC.BA/BS, or a similar degree, required, JD a plus.Excellent interpersonal, organizational, leadership and communication (oral and written) skills.Demonstrate excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.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.Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.Proficient in Word, Excel and PowerPoint.Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.Additional Information
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.Accommodation
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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Support the continued development of TDS US Compliance to meet the requirements of the RCM program which include: policies and procedures, regulatory inventory, issues management, control mapping, rules mapping, risk assessments and regulatory change.Provide centralized and streamlined coordination for the Spring and Fall Compliance Risk Assessment process for the TDS US Compliance team.Support the enhancements to the TDS US Compliance program to comply with regulatory expectations and to align where appropriate across global and US compliance programs.Support the Regulatory Change process.Implement and centralize issues management program and appropriate tracking/reporting of issues. Work closely with Monitoring and Testing team in issues management.Facilitate self-reporting of issues and analysis of observations/recommendations and whether they should be tracked.Manage aspects of the development and maintenance of the Firm's Regulatory Inventory and support Compliance in related activities including managing regulatory change business mapping, control mapping and automation.Oversee and coordinate updates to TDS Compliance Policies, Procedures and Standards.Centralize/oversee the application of the firm's in-house system to TDS US Compliance activities. The system is intended to support risk assessments, issues management, rules inventory, regulatory change, control mapping and monitoring and testing.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
Approximately 7 years experience in Compliance with a US broker dealer or regulator.Strong Knowledge of applicable securities laws, rules, and regulations with the ability to assess impact to the Firm. Specifically Fed, FINRA, SEC, CFTC, NYSE, MSRB, and OCC.BA/BS, or a similar degree, required, JD a plus.Excellent interpersonal, organizational, leadership and communication (oral and written) skills.Demonstrate excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.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.Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.Proficient in Word, Excel and PowerPoint.Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.Additional Information
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.Accommodation
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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