Vice President, Compliance - Monitoring & Testing, TD Securities

Job Description:

This Compliance Officer is 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. This Compliance Officer 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

Education & Experience:

• Bachelors degree or progressive work experience

• 5-7 Years of related experience

Preferred Qualifications:

• 7 or more years of experience with a registered US broker dealer, regulator, or global financial organization.

• JD 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 - 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

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel - Occasional

• International Travel - Never

• Performing sedentary work - Continuous

• Performing multiple tasks - Continuous

• Operating standard office equipment - Continuous

• Responding quickly to sounds - Occasional

• Sitting - Continuous

• Standing - Occasional

• Walking - Occasional

• Moving safely in confined spaces - Occasional

• Lifting/Carrying (under 25 lbs.) - Occasional

• Lifting/Carrying (over 25 lbs.) - Never

• Squatting - Occasional

• Bending - Occasional

• Kneeling - Never

• Crawling - Never

• Climbing - Never

• Reaching overhead - Never

• Reaching forward - Occasional

• Pushing - Never

• Pulling - Never

• Twisting - Never

• Concentrating for long periods of time - Continuous

• Applying common sense to deal with problems involving standardized situations - Continuous

• Reading, writing and comprehending instructions - Continuous

• Adding, subtracting, multiplying and dividing - 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.

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.