Director, Compliance - US Markets Global Transaction Banking Compliance Advisory, TD Securities

Director, Us Markets Compliance Advisory

We are looking for a Director, US Markets Compliance Advisory to join our team in New York City. The ideal candidate must have compliance advisory experience in the Global Transaction Banking Space supporting a wholesale client base. Including knowledge of the regulatory framework supporting businesses such as Global Trade Finance and Payments & Corporate Cash Management. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practice. In addition, this individual will be responsible for management of individuals covering these business lines from a compliance perspective today.

The Director 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.

Responsibilities :

• Provide day to day advice to the Global Transaction Banking Business
• Advise business areas on firm policies and procedures, regulatory requirements, and industry best practice
• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
• Draft, update, and implement relevant policies and procedures.
• Provide regulatory / compliance training.
• Assist the business on implementing and documenting various supervisory / control mechanisms.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Interact with federal and state regulators
• Ensure appropriate LRRs and Controls are mapped to the Business
• Conduct compliance risk assessments to ensure effective business control framework
• Analyze new regulations and conduct business-based analysis and execute required implementation.
• Provide ongoing reporting to senior management
• Develop and deliver proactive strategies and tactics that support compliance / business objectives

Depth & Scope :

Preferred Qualifications :

Education & Experience :

Physical Requirements :

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.