VP Compliance, US Core Control Room (San Francisco or NYC) - TD Securities

Overview

VP Compliance, US Core Control Room (San Francisco or NYC) - TD Securities

Work Location : San Francisco, California, United States (hybrid)

Hours : 40

Line Of Business : Conformité

Pay Detail : $150,000 - $185,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate\'s skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description

We are seeking a VP Compliance professional to join our TD Securities US Control Room located in San Francisco, California.

Responsibilities Include

• Maintain the TD Securities Grey and Restricted lists.
• Chaperone interactions and communications between Research and Investment Banking.
• Review and approve US and Canadian equity Research with an understanding of US and Canadian Research rules.
• Daily engagement with Research and Investment Banking to provide advice and guidance to business partners, conduct deal updates, answer and respond to conflicts clearance requests, and work through questions from the global Control Room inbox.
• Review and escalate conflict checks for the Investment Bank.
• Participate in regulatory exams and work with internal auditors.
• Participate in different Control Room projects with Technology and project management teams.
• Work closely with Control Room partners in the Toronto, Singapore and London Control Room.
• Work closely with Compliance Advisory and Legal as needed.

Job Requirements And Qualifications

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. 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 : 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 the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

#J-18808-Ljbffr