Vice President, Compliance - Monitoring & Testing, TD Securities (New York)

Compliance Officer

This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing 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.

Compliance Monitoring and Testing

Develop and design annual and cycle-based Compliance Testing and Monitoring plans

Execute the annual Compliance Testing plan.

Determine test scopes, and design and develop effective test strategies and approaches.

Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards.

Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope, and findings.

Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge.

Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews.

Oversee remediation of gaps identified in the Testing or Monitoring activities.

Identify areas for enhanced Monitoring, Testing, or training.

Core Compliance

Design and develop Testing and Monitoring metrics, and contribute to department reporting

Support issues management development and tracking of Compliance-identified findings.

Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses

Work closely with other support functions and the business areas to support a culture of compliance across the firm.

Participate in special projects as they arise to enhance Compliance functions.

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

7 or more years of experience with a registered US broker dealer, regulator, or global financial organization.

JD desirable but not required

Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution.

Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them.

Excellent interpersonal, organizational, leadership, and communication (oral and written) skills.

Client service skills the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.

Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.

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, along with the ability to handle multiple assignments at the same time.

Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.

A relationship builder with the ability to establish, develop, and maintain effective working relationships with regulators and with business and functional partners at the firm.

Proficient in Word, Excel, and PowerPoint

Physical Requirements

Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100%

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

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. 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.