VP - Compliance TDS (US) Data Infrastructure and Reporting

TD Bank • New York, NY

8d

About The Position

TD Securities' Regulatory Compliance Management (RCM) Framework has implemented new programs and continues to enhance existing programs in order to support its strong risk culture and strategic approach in managing regulatory compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will develop the critical data infrastructure for RCM Programs and will serve as the unifying point for all of the disparate data across different RCM Programs. Additionally, the goal of this infrastructure is to support holistic and highly strategic reporting and visualizations of each RCM Program and the linkages between those Programs.
Key responsibilities include (but are not limited to): project management over the RCM data infrastructure build; development of a new dashboard or platform to analyze data linkages and data flows between RCM Programs; ongoing support new vendor solutions or internal builds that will leverage the RCM data infrastructure.
Depth & Scope Regulatory Compliance Management (RCM) Data Infrastructure & Reporting Implement the TD Securities US Core Compliance Data Strategy, including the build-out of the data infrastructure that will underpin the strategy Develop reporting tools and visualizations leveraging the RCM data infrastructure to deliver strategic insights to a variety of audiences, including senior management Partner closely with Leads across RCM Programs (such as Monitoring & Testing, Risk Assessment, Regulatory Change, Regulatory Relations, Rules & Controls Inventory, and Reporting & Metrics) to operationalize the data for those programs Create robust data organization and reporting solutions across the Core Compliance programs Support business data collection and aggregation for the Compliance Monitoring & Testing (M&T) and various assessment processes Participate in ad hoc special projects General Job Description: 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 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

Requirements

• BA/BS, or a similar degree, required.
• Advanced technical skills, especially with Microsoft Power applications (e.g., Apps, Automate, Flow) Office Suite (Excel, Access, PowerPoint, Word, Visio), required
• 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.
• 6 or more years of experience with a registered US broker dealer or regulator.
• Working knowledge of wholesale banking products and services, operations, regulatory frameworks (e.g., applicable rules and regulations), and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, 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 projects.
• 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.
• Bachelors degree or progressive work experience
• 5-7 Years of related experience

Nice To Haves

• Data visualization (e.g., Tableau, Qlikview, etc.), preferred.
• Big data (e.g., SQL, Alteryx, Dataiku, etc.) a plus, but not required.

Responsibilities

• project management over the RCM data infrastructure build
• development of a new dashboard or platform to analyze data linkages and data flows between RCM Programs
• ongoing support new vendor solutions or internal builds that will leverage the RCM data infrastructure
• Implement the TD Securities US Core Compliance Data Strategy, including the build-out of the data infrastructure that will underpin the strategy
• Develop reporting tools and visualizations leveraging the RCM data infrastructure to deliver strategic insights to a variety of audiences, including senior management
• Partner closely with Leads across RCM Programs (such as Monitoring & Testing, Risk Assessment, Regulatory Change, Regulatory Relations, Rules & Controls Inventory, and Reporting & Metrics) to operationalize the data for those programs
• Create robust data organization and reporting solutions across the Core Compliance programs
• Support business data collection and aggregation for the Compliance Monitoring & Testing (M&T) and various assessment processes
• Participate in ad hoc special projects

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.

What This Job Offers

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