VP - Compliance Monitoring Program, TD Securities

VP, Compliance

This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the development, implementation and coordination of the Monitoring program, as well as aspects of compliance test execution that contribute to the Compliance coverage plan. The M&T 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.

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 with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing routines for inclusion into the program, enhancing and implementing key program aspects and coordinating program elements with stakeholders across all lines of defense.
• Collaborate with colleagues globally to develop and enhance ongoing and potential Monitoring Activities ("MA").
• Evaluate and enhance the viability of MAs through scope and sampling alignment; support MA execution improvements; collate, document and evidence organization and record retention.
• Conduct quality assurance of MAs against the enterprise standards and help to maintain efficient and effective coverage.
• Maintain and update procedures and templates as required.
• Monitor program progress and develop MIS reporting for ongoing tracking and evaluation of Monitoring Activities.
• Communicate deficiencies to key stakeholders and exercise credible challenge.
• Assist Compliance testing with test execution that contributes to the overall Compliance Coverage plan.
• Support issue management and support a culture of compliance across the enterprise.
• Participate in, and contribute towards, working groups and collaborative efforts.
• Participate in special projects as they arise to enhance the overall Core Compliance functions

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