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TD · 2 weeks ago

Deputy to the US Head of Compliance Programs

New York, NY

Full-time

Onsite

Director/Executive

$115K/yr - $186K/yr

15+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a Deputy to the US Head of Compliance Programs to oversee compliance functions and support the development of a regulatory compliance program. This role involves managing compliance operations, interacting with senior management, and ensuring adherence to applicable laws and regulations.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Oversees assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments

Manages compliance aspects of the applicable laws and regulations having a significant impact on the operations or strategy of the Company

Interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations

Employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns

Manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed

Participates in annual risk assessment process for development of department monitoring plan and participates in routine monitoring plan meetings

Supports the US Head of Compliance Programs and Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations

Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

Oversees and leads a highly complex, and diverse function for an area of significant risk, complexity or scope

Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals, etc.)

Sets operational team direction and collaborates with others to execute on common goals

Focuses on longer-range planning for functional area

Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program

Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues

Takes corrective action and recommends or implements changes to procedures, as required

Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities

Protects the interests of the organization – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues

Works closely with executive management team to support the development of CGO group's business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness and scale

Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly

Provides mentorship to direct reports; and assumes responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct

Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts

Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality

Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations

Qualification

Regulatory complianceCompliance risk managementPolicy developmentCompliance monitoringJDRelevant certificationsAnalytical skillsMicrosoft Office SuiteProfessional maturityTeam orientedPresentation skillsAdaptable

Required

Undergraduate degree or equivalent work experience

10+ years of experience

Excellent written, verbal and analytical skills

Highly motivated, strong attention to detail, team oriented, organized

Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior level

Ability to work collaboratively with cross functional partners across the three lines of defense

Ability to navigate a complex organization

Adaptable and can meaningfully contribute where we have the most pressing needs

Professional maturity and awareness for how to appropriately prioritize competing priorities against aggressive timelines, and have sound judgment for how and when to escalate

Advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite

Preferred

15+ years of relevant experience

JD and/or other relevant certifications

Experience with developing and implementing regulatory compliance risk management frameworks and programs, including Compliance Risk Assessment, regulatory controls management, Compliance Issue Management, Compliance Monitoring & Testing, Program Effectiveness Assessments, governance of Compliance documentation

Experience with developing and implementing Compliance-driven policies and procedures to ensure alignment with jurisdiction-specific regulatory requirements and organizational adherence

Familiarity with Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management