Vice President, Compliance - Monitoring & Testing, TD Securities (US)

TD•New York, NY

1d•$150,000 - $180,000•Onsite

About The Position

We are looking to hire a new Vice President, Compliance at TD Securities (US) to be a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. The VP Compliance TDS 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

7+ years of experience with a registered US broker dealer, regulator, or global financial organization.
Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution.
Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them.
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.
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, 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
Bachelors degree or progressive work experience
5-7 Years of related experience

Nice To Haves

JD degree desirable but not required.

Responsibilities

Develop and design annual and cycle-based Compliance Testing and Monitoring plans
Execute the annual Compliance Testing plan.
Determine test scopes, and design and develop effective test strategies and approaches.
Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards.
Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings.
Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge.
Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews.
Oversee remediation of gaps identified in the Testing or Monitoring activities.
Identify areas for enhanced Monitoring, Testing or training.
Design and develop Testing and Monitoring metrics, and contribute to department reporting
Support issues management development and tracking of Compliance-identified findings.
Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
Work closely with other support functions and the business areas to support a culture of compliance across the firm.
Participate in special projects as they arise to enhance Compliance functions.
Manages regulatory reviews including inquiries, audits, and exams