TD Securities · 2 hours ago
Vice President – Compliance Regulatory Change Lead
New York, NY
Full-time
Onsite
Mid, Senior Level
$150K/yr - $180K/yr
5+ years expTD Securities is a leading provider of capital markets products and services. The Compliance Regulatory Change Lead is responsible for overseeing and managing the implementation of regulatory changes for TD's U.S. Wholesale businesses, ensuring compliance with laws and regulations.
BankingFinanceFinancial Services
Responsibilities
Responsible for monitoring, identifying, and communicating changes to laws, rules, and regulations (LRRs) for inclusion in the Firm's Global Regulatory Inventory (U.S. Wholesale’s book of record for all regulatory compliance LRRs that apply to the Firm)
Assessing impact regulatory changes may have on TD's U.S. Wholesale business
Developing an understanding of the Firm's regulatory structure and regulated entities and how LRRs apply to them
Applying subject matter expertise in securities regulation to the LRRs that apply to the Firm's business areas
Monitoring LRR feeds to identify rules that apply to the Firm
Providing identified LRRs to the Reg Change Program Execution lead on a weekly basis
Reviewing identified LRRs to Advisory Compliance and other stakeholders as applicable on a weekly basis to determine materiality
Hosting the Biweekly Reg Change Meeting to review regulatory changes with stakeholders and determine ownership for implementation
Supporting as needed the activities of the Reg Change Program including tracking, reporting, and documentation
Assisting in the maintenance of the Rules Inventory that apply to the U.S. Wholesale businesses, and verifying that new or changed LRRs are appropriately mapped in the Inventory
Participate in activities that support the overall Regulatory Compliance Management Framework for TD that drives the management of regulatory compliance risk
Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
Subject matter expert for a functional area
Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
Focuses on short to mid- range planning (e.g. 6-12 months)
Manages regulatory reviews including inquiries, audits, and exams
Qualification
Required
BA/BS, or a similar degree, 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
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
Preferred
JD desirable but not required
Experience in trade or communications surveillance a plus
Knowledge of markets surveillance systems and applications a plus
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
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