VP, Global Control Room - Initiatives & Portfolio Management (NY or Toronto) - TD Securities

Vice President Compliance Control Room

TD Securities is seeking an experienced and strategic Vice President to join our Compliance Control Room, focusing on portfolio management of the department's initiatives & programs. The successful hire will assist the Global Control Room Head and the GCR Portfolio Management Head with implementing a program focused on the initiatives below :

• Global Control Room Portfolio Management : Work with the senior members of the Global Control Room, DDI, technology and key stakeholders to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.
• Global Control Room Procedures : Work with Global Control Room leads to ensure that departmental Global Control Room procedures are updated timely and accurately.
• Meetings & Reporting : Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Global Control Room to senior leadership / governance and Boards. Assist the Global Head and key stakeholders with leading oversight / governance committees room; track and report on the status of remediation and modernization initiatives across the various GCR portfolios; and enhance and streamline the current reporting across regional committees and boards. Ensure operational issues are appropriately managed, addressed, tracked, and reported on in governance.
• Regulatory Responses and Internal Audits : Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and exam inquiries as they relate to Global Control Room.
• Issues Management : Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders.
• Quality Assurances : Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancements.
• Program Enhancements : Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.
• Training : Work with the GCR Head and leads to develop appropriate training.
• Compliance Culture : Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices.
• Stakeholder management : Work across teams globally to build effective working relationships across diverse stakeholder groups.

Education & Experience :

General Job Posting : 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 :

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.

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.

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 :

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete