Vice President, Regulatory Management & Remediation

TD•New York, NY

About The Position

The TD Securities U.S. Regulatory Management & Remediation team is responsible for the planning, execution and delivery of key regulatory initiatives for our US Wholesale business, building foundational capabilities across our teams and providing strategic oversight into remediation approach and execution. The team partners closely with senior leaders across TDS, Risk, Legal, HR, Compliance and will work in close alignment with our TDGUS and CUSO operations and governance forums to ensure alignment with integrated remediation activities to our regulators. This will involve: Accountability for leading the end-to-end delivery across all business and technology aspects of the project with a delivery operating model to maximize efficiency, effectiveness and scalability. Responsible for key assessments across multiple stakeholders and aligning technology and regulatory objectives into a shared delivery vision. Facilitating the breaking down of overall vision and roadmap into component parts that can be executed through Rapid, TD Agile PDLC delivery approaches as appropriate. Providing leadership to technology and business partners to turn requirements into delivery with analyses and recommendations for solutions that meet business objectives with in a timely and cost-effective manner. Establishing and managing resource plan, issues, risks and financial plans to support the roadmap. Anticipating issues, trends and the potential impact and timely resolution of impediments, while effectively managing the program schedule (releases) and financials and ensuring continuing review and prioritization. Coordinating with the respective enterprise control partners (e.g., EPDE, Strategic Sourcing Group, Legal, TRMIS, OCDO. etc.) to appropriately select, engage and manage external service providers as required Staying energized, productive and focused in the face of challenges, ambiguity, change or strenuous demands. Demonstrate ability to consistently apply expert judgment with available information when proposing solutions/recommendations Demonstrated ability to formulate cohesive recommendations regarding delivery approach after consultation with key stakeholder groups on estimated effort, resource availability, cross-program dependencies and other implementation constraints Ability to create and foster a cohesive team and promote a positive work environment for all employees Ability to think strategically and possess strong business acumen Proven ability to stay focused under pressure, demonstrating resilience in challenging situations Ability to clearly communicate complex financial concepts and garner consensus on implementation methodology from all key stakeholders Ability to progress on multiple priorities concurrently while navigating unfamiliar territory and ambiguous/evolving circumstances Aptitude for amalgamating and interpreting large volumes of information, identifying key clarifications required, and formulating next steps to proceed Building trust with stakeholder groups and maintain good working relationship with other departments Leading an effective and diverse business team to effectively deliver productivity, quality and innovation

Requirements

Knowledge of project delivery methodologies (including PDLC and TD Agile scaling frameworks)
Strong working knowledge of project management techniques and tools including Microsoft Project, JIRA and Confluence
Knowledge of Capital Markets
Knowledge of regulatory requirements
Ability to apply industry frameworks and techniques
Passion to succeed, results-oriented
High attention to detail and ability to articulate and produce presentations for different level of audiences
Flexible, with an innate ability to "course correct"
Adaptive communication skills
Ability to build and motivate teams
High threshold dealing with ambiguity
Entrepreneurial mindset
Drive for continuous improvement
Ability to influence all parties while driving delivery forward
Prior experience with delivering major regulatory programs and/or infrastructure implementations is an asset.
In-depth familiarity with market risk, valuation, data science or accounting concepts obtained through previous experience in a capital markets function.
High level understanding of financial products and models.
Prior experience with delivering major regulatory programs and/or infrastructure implementations is an asset.
University degree or equivalent
7+ years of prior experience in organizational change management activities
In-depth understanding and subject matter expertise in self clearing, with experience in Futures preferred
Prior experience with delivering technology for clearing (self or client) is considered an asset
Superior understanding of the end-to-end clearing workflow, with in-depth knowledge of the operational aspects
Superior organizational skills (must be able to identify and track project dependencies & blockers, ensure proper resolution of outstanding items, document meeting minutes and takeaways in a clear and concise manner)
Established rapport with various stakeholders throughout the bank
Advanced Excel data manipulation skills (ability to derive findings/conclusions from large datasets and trouble-shoot errors)
Ability to work on multiple concurrent tasks and manage time effectively
Flexibility to be able to adapt to unfamiliar, ambiguous or changing conditions
Demonstrated ability to make sound recommendations for business decisions
Excellent analytical, problem solving, organizational, and communication skills

Nice To Haves

CFA or FRM designation an asset

Responsibilities

Accountability for leading the end-to-end delivery across all business and technology aspects of the project with a delivery operating model to maximize efficiency, effectiveness and scalability.
Responsible for key assessments across multiple stakeholders and aligning technology and regulatory objectives into a shared delivery vision.
Facilitating the breaking down of overall vision and roadmap into component parts that can be executed through Rapid, TD Agile PDLC delivery approaches as appropriate.
Providing leadership to technology and business partners to turn requirements into delivery with analyses and recommendations for solutions that meet business objectives with in a timely and cost-effective manner.
Establishing and managing resource plan, issues, risks and financial plans to support the roadmap.
Anticipating issues, trends and the potential impact and timely resolution of impediments, while effectively managing the program schedule (releases) and financials and ensuring continuing review and prioritization.
Coordinating with the respective enterprise control partners (e.g., EPDE, Strategic Sourcing Group, Legal, TRMIS, OCDO. etc.) to appropriately select, engage and manage external service providers as required
Staying energized, productive and focused in the face of challenges, ambiguity, change or strenuous demands.
Demonstrate ability to consistently apply expert judgment with available information when proposing solutions/recommendations
Demonstrated ability to formulate cohesive recommendations regarding delivery approach after consultation with key stakeholder groups on estimated effort, resource availability, cross-program dependencies and other implementation constraints
Ability to create and foster a cohesive team and promote a positive work environment for all employees
Ability to think strategically and possess strong business acumen
Proven ability to stay focused under pressure, demonstrating resilience in challenging situations
Ability to clearly communicate complex financial concepts and garner consensus on implementation methodology from all key stakeholders
Ability to progress on multiple priorities concurrently while navigating unfamiliar territory and ambiguous/evolving circumstances
Aptitude for amalgamating and interpreting large volumes of information, identifying key clarifications required, and formulating next steps to proceed
Building trust with stakeholder groups and maintain good working relationship with other departments
Leading an effective and diverse business team to effectively deliver productivity, quality and innovation