VP - Compliance TDS (US) Data Infrastructure and Reporting

TD•New York, NY

1d•Onsite

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 VP Data Infrastructure & Reporting 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

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
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
Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
Manages regulatory reviews including inquiries, audits, and exams