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TD · 3 months ago

Director, Compliance - Regulatory Initiatives, TD Securities

New York, NY

Full-time

Onsite

Mid, Senior Level

$180K/yr - $225K/yr

7+ years exp

TD is a financial services company that offers a wide range of capital markets products and services. The Director Compliance oversees a team providing advice on regulatory requirements, managing regulatory risk, and implementing compliance programs.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Design and implement a robust regulatory inquiries program that includes:

Leading response to regulatory inquiries and subpoenas, including conducting investigations when needed

Drafting responses

Pulling relevant documentation

Coordinating responses with stakeholders

Centrally tracking all requests

Preparing timely, comprehensive responses across relevant business lines

Liaising with Legal and outside counsel, where necessary, to review and prepare responses

Develop and implement processes to streamline and standardize annual reporting to regulators across broker-dealers and swap dealers and draft relevant content

Act as a Compliance lead in relevant remediation projects, which will include:

Conducting gap assessments

Developing action plans

Leading Compliance implementation efforts

Reporting on remediation efforts

Drafting memos and management responses

Prepare reporting and metrics on remediation efforts to be delivered to senior management committees and the Board of Directors of impacted TD entities

Manage a team to support these processes

Work closely with teams across the Compliance Department in development and enhancement of compliance programs

Participate in special projects as needed

Qualification

Regulatory complianceFinancial product rulesTrade surveillance toolsAnalytical skillsProject managementClient service skillsLeadership skillsInterpersonal skillsCommunication skillsAttention to detail

Required

Bachelors degree or progressive work experience

7-10 years related experience

Preferred

JD desirable but not required

7-10 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