Vice President, Compliance Monitoring Program - TD Securities (US)

TD Bank • New York, NY

12d

About The Position

This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the development, implementation and coordination of the Monitoring program, as well as aspects of compliance test execution that contribute to the Compliance coverage plan. The M&T 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. The VP 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.

Requirements

• Bachelors degree or progressive work experience
• 5-7 Years of related experience
• 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
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.
• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues.
• Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations.
• 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.
• Proficient in Excel, Word, PowerPoint and SharePoint.
• Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation.

Nice To Haves

• JD desirable but not required.
• 7 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.
• Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements.
• Experience in trade or communications surveillance a plus.
• Firm understanding of financial product rules and regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations.
• A willingness to learn new regulatory areas impacting products, behaviors and market participants.
• Knowledge of trade and communications surveillance tools and vendors for detecting market abuse and manipulation.
• Knowledge of markets surveillance systems and applications a plus.

Responsibilities

• Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing routines for inclusion into the program, enhancing and implementing key program aspects and coordinating program elements with stakeholders across all lines of defense.
• Collaborate with colleagues globally to develop and enhance ongoing and potential Monitoring Activities ("MA").
• Evaluate and enhance the viability of MAs through scope and sampling alignment; support MA execution improvements; collate, document and evidence organization and record retention.
• Conduct quality assurance of MAs against the enterprise standards and help to maintain efficient and effective coverage.
• Maintain and update procedures and templates as required.
• Monitor program progress and develop MIS reporting for ongoing tracking and evaluation of Monitoring Activities.
• Communicate deficiencies to key stakeholders and exercise credible challenge.
• Assist Compliance testing with test execution that contributes to the overall Compliance Coverage plan.
• Support issue management and support a culture of compliance across the enterprise.
• Participate in, and contribute towards, working groups and collaborative efforts.
• Participate in special projects as they arise to enhance the overall Core Compliance functions

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees