Apply on Employer Site

TD · 3 months ago

Vice President, Compliance Monitoring Program - TD Securities (US)

New York, NY

Full-time

Onsite

Mid, Senior Level

$150K/yr - $180K/yr

5+ years exp

TD is a leading financial services company committed to providing innovative solutions and services to clients. The Vice President of Compliance Monitoring Program will oversee the development and implementation of the Compliance Monitoring program, ensuring regulatory adherence and risk management across the organization.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing routines for inclusion into the program, enhancing and implementing key program aspects and coordinating program elements with stakeholders across all lines of defense

Collaborate with colleagues globally to develop and enhance ongoing and potential Monitoring Activities ("MA")

Evaluate and enhance the viability of MAs through scope and sampling alignment; support MA execution improvements; collate, document and evidence organization and record retention

Conduct quality assurance of MAs against the enterprise standards and help to maintain efficient and effective coverage

Maintain and update procedures and templates as required

Monitor program progress and develop MIS reporting for ongoing tracking and evaluation of Monitoring Activities

Communicate deficiencies to key stakeholders and exercise credible challenge

Assist Compliance testing with test execution that contributes to the overall Compliance Coverage plan

Support issue management and support a culture of compliance across the enterprise

Participate in, and contribute towards, working groups and collaborative efforts

Participate in special projects as they arise to enhance the overall Core Compliance functions

Qualification

Compliance Monitoring ProgramRegulatory Requirements ExpertiseTrade Surveillance KnowledgeFinancial Product RulesAnalytical SkillsProject Management SkillsInterpersonal SkillsCommunication SkillsJD DegreeExcel ProficiencyWord ProficiencyPowerPoint ProficiencySharePoint Proficiency

Required

Bachelors degree or progressive work experience

5-7 Years of related experience

Preferred

JD desirable but not required

7 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator

Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus

Firm understanding of financial product rules and regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations. A willingness to learn new regulatory areas impacting products, behaviors and market participants

Knowledge of trade and communications surveillance tools and vendors for detecting market abuse and manipulation

Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation

Excellent interpersonal, organizational, leadership and communication (oral and written) skills

Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships

Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues

Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations

Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction

Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills

Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus