Vice President – U.S. Fixed Income Compliance Advisory

TD Bank • New York, NY

12d • $150,000 - $180,000

About The Position

Candidate must have compliance advisory experience in fixed income business lines and will focus on providing real-time compliance advice to the TD Securities (USA) LLC Fixed Income Securities business units. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice
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. Depth & Scope: Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists 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

Requirements

• Approximately 3-5 years of securities advisory experience.
• Knowledge of Primary Dealer activities and requirements.
• Significant experience in providing regulatory or compliance advice to Fixed income sales and trading including Treasuries, GSE Agency securities, Securitized Products (MBS/ ABS), and Credit products (investment grade and high yield).
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, MSRB and OCC.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment.
• Ability to project confidence and professionalism in dealings with senior business personnel.
• Strong knowledge of technology infrastructure and global booking models.
• Ability to work on multiple projects in a fast-paced environment.
• Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally.
• Bachelors degree or progressive work experience
• 5-7 Years of related experience

Nice To Haves

• JD a plus.

Responsibilities

• Provide day-to-day advice across all FI Businesses ensuring strategic consistency across desks
• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
• Provide day to day coverage of the Firm's Primary Dealer and GSE Compliance programs
• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
• Draft, update, and implement relevant policies and procedures.
• Provide regulatory/compliance training.
• Assist the business on implementing and documenting various supervisory/control mechanisms.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Interact with federal and state regulators.
• Provide guidance to the Compliance Testing and Monitoring teams to assist with their review of covered business areas.
• Conduct compliance risk assessments to ensure effective business control framework.
• Analyze new regulations and conduct business-based analysis and execute requite implementation.
• Provide ongoing reporting to senior management.
• Develop and deliver proactive strategies and tactics that support compliance/business objectives.

Benefits

• Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
• 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.
• Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
• You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level