Senior Counsel - Regulatory Enforcement & Investigations

TD Bank•Mount Laurel, NY

7d•Onsite

About The Position

TD Legal is dedicated to providing industry-leading advice and counsel to all TD business segments and corporate functions. In this Senior Counsel role, you will join a dynamic and collegial team of professionals at TD Legal, providing advice and supporting a wide range of legal and risk areas across the enterprise. This role will primarily involve advising on legal, regulatory, and investigative matters, including internal investigations, regulatory inquiries, examinations, enforcement matters, and related risk management activities. Responsibilities will include providing legal advice on significant regulatory, compliance, conduct, governance, and reputational risk matters; overseeing internal investigations; managing interactions with regulators and external counsel; and supporting remediation and risk mitigation efforts. This is an opportunity to collaborate with other members of TD Legal, multi-disciplinary teams across the enterprise, including colleagues in compliance, risk management, security, control functions, and business lines, and to help the enterprise meet its legal, regulatory, and governance obligations. The Senior Counsel - Regulatory Enforcement & Investigations provides oversight, legal advice and support to TD Bank management in Corporate Group Functions and Business Units. Functions as legal expert in one or more defined subject matter areas and/or specific business lines. Provides high level legal advice to specific business area(s), may prepare resolutions, contracts, memoranda to management, litigation documents and forms and participates in major legal actions. Foresees and protects the Company against legal risks. Depth & Scope: May manage paralegal and administrative staff, assigning responsibilities and evaluating results Provides leadership, coaching, counseling and guidance to staff Supervises external counsel providing advice or other legal services of the Company Works closely with General Counsel, department attorneys and external legal counsel on specific legal issues related to the Company's business Gives practical support and assistance to contemporaries, junior attorneys and staff Volunteers expert advice and experience Verifies the information has been understood Serves in one or more permanent or ad hoc practice groups or cross-practice teams of attorneys and staff Assists in the management of expenditures for external counsel Advises lines of business on best practices that help minimize legal and litigation risk May assist General Counsel in developing and managing departmental budget for both internal and external legal spend Anticipates client needs Deals with complex legal issues Clearly delivers difficult messages without jeopardizing client relationships Gives pragmatic legal opinions with reasons and rationale Provides advice in ambiguous situations; identifies and prevents future legal risks Identifies and takes action on future opportunities Resolves most situations where conflicts arise between the needs and desires of specific business units and the interests of the Company without requiring intervention of more senior attorneys Demonstrates highest professional ethical and behavioral standards and complies with all applicable Bar Rules and Codes of Professional Responsibility, and corporate ethical and behavioral standards Participates in special projects and performs additional duties as required

Requirements

Bachelors degree required
J.D. from an Accredited Law School required
10+ Years of related experience
Strong knowledge of at least one area of law relating to banking/financial services operations and issues
Integrity and high moral standards
Strong negotiation and conflict resolution skills
Strong legal and analysis skills
Detail oriented
Must be able to apply legal knowledge to the business
Ability to exercise sound judgment
Strong interpersonal skills
Excellent oral and written communication skills
Strong teamwork and client skills
Highly motivated
Ability to provide difficult, complex and unwelcomed legal advice credibly and convincingly to management
Strong technology aptitude including i) proficiency with standard office software and ability to learn and apply new technologies in work environment and ii) capacity to understand current and emerging technologies in the industry and how they affect business objectives
Ability to identify problems and barriers, and effectively implement solutions to advance business strategy
Operates with creativity and innovation; seeks different perspectives and new ideas
Ability to work in a fast-paced environment and manage multiple deadlines and priorities
Understands the value of knowledge management, builds and supports systems and tools that efficiently connect people to the knowledge they need to do their job
In lieu of 10 years experience, willing to consider candidates with 6 - 6+ years experience in Regulatory Enforcement & Investigations

Nice To Haves

Law degree from an accredited law school and qualified to practice law in New York or New Jersey.
Possess 10+ years of legal experience, including in-house, law firm, government, or regulatory experience involving investigations, regulatory enforcement, litigation, or related matters.
Experience conducting or managing internal investigations and advising on regulatory inquiries, examinations, enforcement matters, and remediation activities.
Strong knowledge of the legal and regulatory framework applicable to financial institutions and experience engaging with banking, securities, or other financial services regulators.
Experience in the banking, broker-dealer, investment banking, wealth management, or other regulated financial services sectors is an asset.
Demonstrated excellence in judgment, leadership, stakeholder management, and the ability to assess risk and provide practical, business-focused legal advice in complex and sensitive situations.

Responsibilities

Providing advice on legal, regulatory, and investigative matters, including internal investigations, regulatory inquiries, examinations, enforcement matters, and related risk management activities.
Providing legal advice on significant regulatory, compliance, conduct, governance, and reputational risk matters.
Overseeing internal investigations.
Managing interactions with regulators and external counsel.
Supporting remediation and risk mitigation efforts.
Providing oversight, legal advice and support to TD Bank management in Corporate Group Functions and Business Units.
Functioning as a legal expert in one or more defined subject matter areas and/or specific business lines.
Providing high level legal advice to specific business area(s), may prepare resolutions, contracts, memoranda to management, litigation documents and forms and participates in major legal actions.
Foreseeing and protecting the Company against legal risks.
Managing paralegal and administrative staff, assigning responsibilities and evaluating results.
Providing leadership, coaching, counseling and guidance to staff.
Supervising external counsel providing advice or other legal services of the Company.
Working closely with General Counsel, department attorneys and external legal counsel on specific legal issues related to the Company's business.
Giving practical support and assistance to contemporaries, junior attorneys and staff.
Volunteering expert advice and experience.
Verifying the information has been understood.
Serving in one or more permanent or ad hoc practice groups or cross-practice teams of attorneys and staff.
Assisting in the management of expenditures for external counsel.
Advising lines of business on best practices that help minimize legal and litigation risk.
Assisting General Counsel in developing and managing departmental budget for both internal and external legal spend.
Anticipating client needs.
Dealing with complex legal issues.
Clearly delivering difficult messages without jeopardizing client relationships.
Giving pragmatic legal opinions with reasons and rationale.
Providing advice in ambiguous situations; identifying and preventing future legal risks.
Identifying and taking action on future opportunities.
Resolving most situations where conflicts arise between the needs and desires of specific business units and the interests of the Company without requiring intervention of more senior attorneys.
Demonstrating highest professional ethical and behavioral standards and complying with all applicable Bar Rules and Codes of Professional Responsibility, and corporate ethical and behavioral standards.
Participating in special projects and performing additional duties as required.

Benefits

base salary
variable compensation/incentive awards
eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan
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
competitive benefits plan
online learning platform
mentoring programs