Vice President, Compliance - Regulatory Exam Management - TD Securities (US)

TD Bank•New York, NY

1d•$150,000 - $185,000•Onsite

About The Position

Our TD Securities Compliance department is looking to hire a VP to join the Regulatory Exam Management team in our New York City office (US headquarters). Job Overview: Manage regulatory examinations covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators. Support TD's ongoing supervision program running recurring and ad hoc meetings with the Firm's prudential and securities regulators and handle deep dive meeting requests. Provide regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues. Analyze and summarize information/documentation responsive to regulatory requests. Communicate extensively (orally and in writing) and develop effective relationships with regulators and communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings. Prepare substantive written responses to regulatory requests and examination reports and work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests. Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements. Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings. Execute issues management process for tracking regulatory findings. Assist in the ongoing development of core compliance processes as needed. Participate in enterprise-wide special projects as needed. Depth & Scope: Manages regulatory reviews including inquiries, audits, and exams. Works independently and is accountable for managing a specialized area, business or function. Subject matter expert for a functional area. Key contact for business management, regulators, and external/internal auditors, dealing with routine and non-routine information. Focuses on short to mid-range planning (e.g. 6-12 months).

Requirements

Bachelor's degree or progressive work experience
At least 5-7 Years of related experience
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

Nice To Haves

7 or more years of securities compliance or related securities experience required.
JD desirable but not required.
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable 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.
Project management skills and ability to manage multiple work streams involving different partners and groups.

Responsibilities

Manage regulatory examinations covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators.
Support TD's ongoing supervision program running recurring and ad hoc meetings with the Firm's prudential and securities regulators and handle deep dive meeting requests.
Provide regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
Analyze and summarize information/documentation responsive to regulatory requests.
Communicate extensively (orally and in writing) and develop effective relationships with regulators and communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings.
Prepare substantive written responses to regulatory requests and examination reports and work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests.
Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements.
Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.
Execute issues management process for tracking regulatory findings.
Assist in the ongoing development of core compliance processes as needed.
Participate in enterprise-wide special projects as needed.
Manages regulatory reviews including inquiries, audits, and exams.
Works independently and is accountable for managing a specialized area, business or function.