AVP, Regulatory Issues Management, Governance and Control, TD Securities (US)

TD • New York, NY

2d • $200,000 - $280,000

About The Position

This role leads the global framework, governance, oversight, and reporting of audit, regulatory, and control-related issues across TD Securities. As a senior first-line control leader, it ensures issues are identified, classified, assigned, remediated, escalated, and closed in a timely, transparent, and sustainable manner. The role partners with business heads, Risk, Compliance, Legal, Internal Audit, Technology, Operations, regional leadership, and regulatory management teams to strengthen remediation discipline, improve issue data quality, prevent repeat findings, and support credible reporting to regulators and senior management.

The position has significant visibility with senior executives, governance committees, Board-level forums, and regulators. It is accountable for driving a consistent global approach that reinforces accountability, operational resilience, and a strong risk and control culture. It provides people-management leadership and oversees a global first-line function across businesses, regions, legal entities, and regulatory jurisdictions, including alignment with governance teams in the Americas, Europe, and APAC.

Requirements

• Undergraduate degree required.
• 15 or more years of progressively senior experience in financial services.
• Significant experience in audit, regulatory remediation, issue management, operational risk, compliance, internal controls, governance, or first-line risk and control roles.
• Proven track record designing, implementing, or leading enterprise-wide issue management, remediation governance, audit response, or regulatory oversight frameworks.
• Deep understanding of the audit lifecycle, regulatory examination process, control remediation, root cause analysis, evidence standards, validation readiness, and sustainable closure expectations.
• Experience engaging directly with senior executives, Board-level committees, regulators, Internal Audit, Compliance, Risk, Legal, Technology, Operations, and business leadership.
• Ability to operate across global businesses, regions, legal entities, and regulatory jurisdictions, with awareness of local regulatory expectations and enterprise standards.

Nice To Haves

• Advanced degree in Business, Finance, Law, Risk Management, Accounting, Economics, or a related discipline.
• Financial services experience preferably in a global investment bank, capital markets business, or large regulated financial institution.

Responsibilities

• Provide people-management leadership, including hiring, setting goals, developing staff, managing performance and compensation decisions, promoting teamwork, and handling disciplinary actions as required.
• Lead a global first-line function for governance, oversight, reporting, and escalation of audit, regulatory, self-identified, and control-related issues across TD Securities.
• Establish and maintain global standards for issue identification, classification, ownership, remediation planning, milestone tracking, evidence quality, validation readiness, escalation, and sustainable closure.
• Operate across businesses, regions, legal entities, and regulatory jurisdictions, aligning closely with governance teams in the Americas, Europe, and APAC.
• Provide senior-level oversight and credible challenge on high-risk, overdue, regulator-sensitive, repeat, systemic, and Board-visible issues.
• Influence business heads, regional leadership, Internal Audit, Compliance, Operational Risk, Legal, Technology, Operations, Regulatory Management, and enterprise risk partners to drive timely and sustainable remediation.
• Maintain a consolidated global view of issue inventory, remediation status, aging, root causes, repeat findings, data quality, and emerging control themes.
• Develop executive-ready reporting and insights for senior management, governance committees, Board-level forums, and regulators.
• Coordinate consistent issue-management messaging, evidence packages, remediation updates, and closure readiness across jurisdictions to support regulatory transparency.

Benefits

• 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
• Reward and recognition
• Training programs
• Mentoring programs
• Variable compensation and incentive awards, potentially including cash and/or equity awards

What This Job Offers

• Job Type: Full-time
• Career Level: Senior