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

TD Bank•New York, NY

15h•Onsite

About The Position

The AVP, Regulatory Issues Management, Governance and Control leads the global framework, governance, oversight, and reporting of audit, regulatory, and control-related issues across TD Securities (TDS). This senior first-line control leader ensures issues are identified, classified, assigned, remediated, escalated, and closed in a timely, transparent, and sustainable manner. The role partners across business and control functions to strengthen remediation discipline, improve issue data quality, prevent repeat findings, and support credible regulatory and senior management reporting. The position operates across multiple businesses, regions, legal entities, and regulatory jurisdictions, with close alignment to governance teams in the Americas, Europe, and APAC. It provides senior oversight and credible challenge for high-risk, overdue, regulator-sensitive, repeat, systemic, and Board-visible issues. The role has significant visibility with executives, governance committees, Board-level forums, and regulators, and is accountable for promoting a consistent global approach to accountability, operational resilience, and risk and control culture. It also manages staff, including hiring, goal setting, development, performance and compensation decisions, teamwork, and disciplinary actions as needed.

Requirements

Undergraduate degree required.
15+ 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.
Demonstrated 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.
Experience in a global investment bank, capital markets business, or large regulated financial institution.

Responsibilities

Lead a global first-line function governing, overseeing, reporting, and escalating audit, regulatory, self-identified, and control-related issues across TDS.
Establish and maintain global standards for issue identification, classification, ownership, remediation planning, milestone tracking, evidence quality, validation readiness, escalation, and sustainable closure.
Coordinate across businesses, regions, legal entities, and regulatory jurisdictions, aligning with governance teams in the Americas, Europe, and APAC.
Provide senior-level oversight and credible challenge for high-risk, overdue, regulator-sensitive, repeat, systemic, and Board-visible issues.
Influence business heads and partners across regional leadership, Internal Audit, Compliance, Operational Risk, Legal, Technology, Operations, Regulatory Management, and enterprise risk to drive timely, 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.
Hire and develop staff, set goals, manage performance and compensation decisions, promote teamwork, and handle disciplinary actions as required.