TD Securities · 6 hours ago
Director – Regulatory Management & Remediation
New York, NY
Full-time
Onsite
Mid, Senior Level
$190K/yr - $225K/yr
7+ years expTD Securities is an innovator and leader in the change management space, seeking a Director for their Regulatory Management & Remediation team. This role involves leading key regulatory initiatives, ensuring alignment across departments, and providing strategic oversight to enhance operational efficiency and compliance.
BankingFinanceFinancial Services
Responsibilities
Accountability for leading the end-to-end remediation across all businesses and technology aspects of the project with remediating and integrating an operating model to maximize efficiency, effectiveness and scalability
Strong regulatory remediation partnership to drive through Internal Audit Validations and Governance standards
Responsible aligning all departments on objectives into a shared vision
Providing leadership to technology and business partners to turn requirements into delivery with analyses and recommendations for solutions that meet business objectives within a timely and cost-effective manner
Establishing and managing resource plans, issues, risks, and financial plans to support the roadmap
Anticipating issues, trends and the potential impact and timely resolution of impediments, while effectively managing the program schedule (releases) and financials and ensuring continuing review and prioritization
Coordinating with the respective enterprise control partners (e.g., EPDE, Strategic Sourcing Group, Legal, TRMIS, OCDO. etc.) to appropriately select, engage and manage external service providers as required
Staying energized, productive, and focused in the face of challenges, ambiguity, change or strenuous demands
Demonstrate ability to consistently apply expert judgment with available information when proposing solutions/recommendations
Demonstrate ability to formulate cohesive recommendations regarding delivery approaches after consultation with key stakeholder groups on estimated effort, resource availability, cross-program dependencies, and other implementation constraints
Ability to create and foster a cohesive team and promote a positive work environment for all employees
Ability to think strategically and possess strong business acumen
Proven ability to stay focused under pressure, demonstrating resilience in challenging situations
Ability to clearly communicate complex financial concepts and garner consensus on implementation methodology from all key stakeholders
Ability to progress on multiple priorities concurrently while navigating unfamiliar territory and ambiguous/evolving circumstances
Aptitude for amalgamating and interpreting large volumes of information, identifying key clarifications required, and formulating next steps to proceed
Building trust with stakeholder groups and maintain good working relationships with other departments
Leading an effective and diverse business team to effectively deliver productivity, quality, and innovation
Qualification
Required
Knowledge of project delivery methodologies (including PDLC and TD Agile scaling frameworks)
Knowledge of risk framework and metrics
Knowledge of Capital Markets
Knowledge of regulatory requirements
Experience in navigating through governance and control standards
Experience in audit remediations
Ability to apply industry frameworks and techniques
Passion to succeed, results-oriented
Flexible, with an innate ability to 'course correct'
Adaptive communication skills
Ability to build and motivate teams
High threshold dealing with ambiguity
Entrepreneurial mindset
Drive for continuous improvement
Ability to influence all parties while driving remediation
Prior experience with delivering major regulatory programs, audit validation, and/or infrastructure implementations is an asset
In-depth familiarity with governance and control, market risk, valuation, data science or accounting concepts obtained through previous experience in a capital markets function
High level understanding of financial products and models
University degree or equivalent
Bachelor's Degree or Equivalent
7+ Years of Prior Experience
Outstanding record of project management success preferably in Capital Markets, both in results achieved and in use of professional methodology especially using Agile approach
Strong project management skills and demonstrated experience
Solid organizational skills including attention to detail and multi-tasking skills
Excellent written and verbal communication skills
Pro-active in developing and implementing strategies that significantly mitigate risk
Preferred
CFA or FRM designation an asset
Master's Degree in related discipline an asset
Benefits
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
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
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