Director – Compliance Monitoring and Testing Program, TD Securities

Description

The Director 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.

Job Overview :

• Develop and oversee Oversight Program over first line and second line Monitoring and Testing Activities
• Conduct Quality Assurance (QA) reviews over monitoring and testing engagements for first and second line ranging from reperformance of testing engagements to verification of adherence to minimum documentation and sampling standards (including workpaper review)
• Provide Compliance (second line) oversight, review and challenge over first line testing activities to ensure that first line testing effectively meets standards for coverage of compliance risks
• Advise, review and challenge first line in the development of their annual test plan with respect to coverage of compliance risks, scope of activities, recommended assessments and how the first line test plan aligns with second line test planning
• Support maintenance of overall monitoring and testing coverage map for US Wholesale businesses
• Running quarterly meetings and metrics to actively measure and report on first line testing progress
• Advise first line on issues identified in testing, as needed
• Manage Monitoring program to ensure that continuous monitoring activities are accurately mapped to overall test plan and the activities are appropriately documented
• Liaise with other enterprise functions that conduct testing for continuity and alignment
• Apply consistent issues management framework for testing-identified issues
• Facilitate self-reporting of issues and analysis of observations / recommendations and whether they should be tracked
• Utilize the Firm's in-house system, Merlin, for TDS US Compliance monitoring and testing activities
• Provide review and challenge for rules inventory and ratings in Merlin
• Support Risk Assessment process and help connect process to rules inventory and monitoring and testing activities

Depth & Scope

• Accountable for a significant area(s) / broad business units of Compliance that typically has enterprise wide impact or accountability.
• Position deals with senior / executive management.
• Key contact for business management, regulators and external / internal auditors, dealing with a broad range of issues including non-routine information.
• Focuses on longer-range planning for functional area (e.g. 12 months or greater).
• Manages and prioritizes multiple projects at a given time.

Education & Experience :

• Bachelors degree or progressive work experience
• 7-10 years related experience

Preferred Qualifications :

• BA / BS, or a similar degree, required.
• 10 or more years of experience with a registered US broker dealer or regulator.
• JD desirable but not required
• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
• Knowledge of US laws, rules and regulations pertaining to Swap Dealers, including Dodd-Frank and Volcker.
• 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.
• Project management skills and ability to manage multiple work streams involving different partners and groups.
• 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

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

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at .

Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.