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TD · 3 months ago

VP, Compliance - Regulatory Initiatives - Policies and Procedures, TD Securities

New York, NY

Full-time

Onsite

Mid, Senior Level

$140K/yr - $180K/yr

5+ years exp

TD is a leading financial institution that offers a range of capital markets products and services. The VP Compliance oversees regulatory initiatives, guiding teams to manage compliance risks and develop policies and procedures.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Assist in drafting and maintaining comprehensive suite of regulatory Compliance policies and procedures

Coordinate with stakeholders and subject matter experts on policy and procedure development

Assist in establishing governance and reporting for policy and procedure review and approval

Support the development and deployment of enhanced policy and procedure portal

Maintain policy and procedure portal

Communicate policy and procedure updates to impacted stakeholders, including new hires

Active participation in ongoing remediation efforts in particular with respect to policy and procedure related deliverables

Participate in regulatory change management and business-related processes to ensure policy and procedures materials are kept current

Assist in responding to internal and external audit requests

Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Compliance policy and procedure initiatives to senior management, relevant boards and external stakeholders

Participate in special projects as needed

Qualification

Regulatory compliancePolicy developmentRisk managementFinancial product knowledgeTrade surveillanceAudit conceptsAnalytical skillsClient service skillsMicrosoft Office proficiencyLeadership skillsCommunication skillsProject managementAttention to detailSelf-starterTime management

Required

Bachelors degree or progressive work experience

5-7 Years of related experience

Preferred

JD desirable but not required

5-7 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