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VP, Compliance - Regulatory Initiatives - Policies and Procedures, TD Securities

VP, Compliance - Regulatory Initiatives - Policies and Procedures, TD Securities

TD BankNew York, NY, US
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VP Compliance TDS

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.

Key Responsibilities :

  • Assist in drafting and maintaining comprehensive suite of regulatory Compliance policies and procedures
  • Coordinate with stakeholders and subject matter experts on policy and procedure development
  • Assist in establishing governance and reporting for policy and procedure review and approval
  • Support the development and deployment of enhanced policy and procedure portal
  • Maintain policy and procedure portal
  • Communicate policy and procedure updates to impacted stakeholders, including new hires
  • Active participation in ongoing remediation efforts in particular with respect to policy and procedure related deliverables
  • Participate in regulatory change management and business-related processes to ensure policy and procedures materials are kept current
  • Assist in responding to internal and external audit requests
  • Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Compliance policy and procedure initiatives to senior management, relevant boards and external stakeholders
  • Participate in special projects as needed

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 :

  • JD desirable but not required.
  • 5-7 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.
  • Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus.
  • Firm understanding of financial product rules and regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations. A willingness to learn new regulatory areas impacting products, behaviors and market participants.
  • Knowledge of trade and communications surveillance tools and vendors for detecting market abuse and manipulation.
  • Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation.
  • Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
  • Client service skills experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.
  • Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues.
  • Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations.
  • 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.
  • Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus.

    • Physical Requirements :

  • 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
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    Regulatory Compliance • New York, NY, US

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