VP, Global Control Room - Securities Aggregation

TD Bank • New York, NY

6d • $150,000 - $180,000

About The Position

We are seeking an experienced Vice President to join the Compliance Control Room, focusing on Securities Aggregation, within the department's initiative and programs group. The successful candidate will lead a newly formed function within the TD Securities Global Control Room to oversee the monitoring, calculation, and reporting of aggregated securities holdings across all relevant entities and business lines. This role will provide critical oversight to ensure compliance with key regulatory regimes and will play a central part in preventing operational, regulatory, and reputational risks associated with limit breaches. The VP will work closely with Global Control Room Portfolio Management Director, Legal and Compliance partners to develop a robust program that provides transparency and control over securities holdings across the organization.

Requirements

• 10+ years of relevant experience in securities regulation, compliance, risk management, or related functions.
• Deep knowledge of regulatory frameworks governing securities ownership (BHC Act, foreign ownership restrictions, sectoral limits).
• Strong analytical and data‑governance skills with experience in complex data environments.
• Proven ability to build new functions or programs, including policy development and control design.
• Exceptional stakeholder management and communication skills, including senior executive engagement.

Nice To Haves

• Bachelor's degree required: JD or MBA preferred.
• Experience with FundApps or similar vendors.

Responsibilities

• Design and implement an end‑to‑end securities aggregation monitoring program, including methodologies, data requirements, escalation procedures, and reporting standards.
• Establish governance structures, documentation, and policies to ensure consistent interpretation and application of regulatory thresholds.
• Implement holdings related restriction controls aligned to regulatory requirements (e.g., Bank Holding Company Act, sectoral foreign ownership rules).
• Oversee the daily/periodic aggregation of securities positions across all relevant TDS entities and accounts.
• Identify potential threshold breaches, execute timely escalation, and coordinate remediation activities.
• Advise senior stakeholders on regulatory exposure, required filings, and remediation actions.
• Produce periodic and ad‑hoc reporting for Management, Governance Committees, and Regulators.
• Lead investigations into potential holding limit breaches and coordinate corrective action plans.
• Assess root causes and drive sustainable process enhancements to prevent recurrence.
• Support regulatory exams and internal audits.
• Identify control gaps and drive implementation of enhanced systems, feeds, and aggregation logic.
• Partner with Technology to enhance automation and integrity of aggregation data.

Benefits

• 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.
• We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

What This Job Offers

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