Vice President

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)
• Manages regulatory reviews including inquiries, audits, and exams

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. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

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. Learn more
 

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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 [email protected]. 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.