TD Securities · 4 hours ago
Vice President – Volcker Rule Compliance
New York, NY
Full-time
Onsite
Mid, Senior Level
$175K/yr - $200K/yr
5+ years expTD Securities is a leading provider of capital markets products and services to corporate, government, and institutional clients. The Vice President of Volcker Rule Compliance will oversee the compliance program, providing guidance and support to ensure adherence to regulatory requirements while managing a team of specialists.
BankingFinanceFinancial Services
Responsibilities
Work with stakeholders throughout the Firm to build, maintain and enhance TD's Firm-wide Volcker Rule Compliance program
Provide stakeholders real-time interpretive guidance on application of Volcker Rule requirements, industry trends, and best practices
Provide effective second line challenge with respect to TD's Volcker Rule Compliance Program, including performing reviews and developing and implementing monitoring protocols and other second line controls
Work closely with TD's Volcker Office building strong relationships with stakeholders throughout the Firm including change delivery, project management, regulatory reporting, governance & control, operations, and front office business partners
Draft interpretive memoranda; maintain relevant policies and procedures, including applicable compliance manuals
Develop, maintain, and deliver electronic and live Volcker rule compliance trainings
Assist the business and support functions with implementing and documenting various supervisory control and operational process
Provide a high level of customer service to our internal clients and stakeholders, acting as a key point of contact for Volcker related internal and external, including regulatory, inquiries
Participate in internal investigations, draft responses to regulatory examination questions, guide stakeholders through exam-related remediations, and coordinate internal and external audits and management responses as needed
Participate in special projects as needed
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
Experience as Volcker Rule Compliance Officer at complex financial services institution
Strong understanding of Volcker Rule and its application across diverse array of businesses and products
5-7 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator
Candidate will be expected to provide key stakeholders with actionable guidance, advice, implementation support, issue-spotting, and effective challenge in a fast-paced, delivery-oriented, and diverse environment
Analyze regulatory changes and developments that impact in-scope areas. Advise stakeholders regarding impacts to business-as-usual activities, as well as net new regulatory requirements
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
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
Preferred
JD desirable but not required
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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