TD Bank
VP, Global Control Room - Initiatives & Portfolio Management (NY or Toronto) - T
TD Bank, New York, New York, us, 10261
**Work Location**:New York, New York, United States of America**Hours:**40**Line of Business:**Compliance**Pay Detail:**$150,000 - $185,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.**Job Description:**TD Securities is seeking an experienced and strategic Vice President to join our Compliance Control Room, focusing on portfolio management of the department's initiatives & programs. The successful hire will assist the Global Control Room Head and the GCR Portfolio Management Head with implementing a program focused on the initiatives below:* **Global Control Room Portfolio Management**: Work with the
senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Communications Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.* **Global Control Room Procedures:** Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.* **Meetings &** **Reporting:** Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Global Control Room to senior leadership / governance and Boards. Assist the Global Head and key stakeholders with leading oversight / governance committees room; track and report on the status of remediation and modernization initiatives across the various GCR portfolios; and enhance and streamline the current reporting across regional committees and boards. Ensure operational issues are appropriately managed, addressed, tracked, and reported on in governance.* **Regulatory Responses and Internal Audits:** Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and exam inquiries as they relate to Global Control Room.* **Issues Management:** Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders.* **Quality Assurances**: Enhance the existing QA process across the GCR in order to
identify
themes and emerging risks, process and escalation enhancements.* **Program Enhancements**: Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.* **Training**: Work with the GCR Head and leads to develop appropriate training.* **Compliance Culture:** Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices.* **Stakeholder management:** Work across teams globally to build effective working relationships across diverse stakeholder groups.**Education & Experience:*** Bachelors degree required: JD or MBA preferred.* At least 7+ years of overall work experience, with a minimum of 5+ years of relevant banking/finance industry experience directly in Compliance Control Room.* Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations.* Experience managing complex regulatory remediation efforts.* Experience identifying regulatory risks and issues, and practical solutions to mitigate risk for Compliance Global Control Room.* Highest personal and professional integrity and standards to advance TD's vision and protect the brand.* Strong verbal and written communication skills.* Strategic thinker with excellent judgement able to deliver effectively on project and departmental issues.* Experience working in a fast-paced environment and manage multiple priorities well.* Ability to successfully operate in an evolving, sometimes ambiguous, matrixed environment.**General Job Posting:**The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.**Depth & Scope:*** 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**Education & Experience:*** Bachelors degree or progressive work experience* 5-7 Years of related experience**Physical Requirements:**Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%* Domestic Travel – Occasional* International Travel – Never* Performing sedentary work – Continuous* Performing multiple tasks – Continuous* Operating standard office equipment - Continuous* Responding quickly to sounds – Occasional* Sitting – Continuous* Standing – Occasional* Walking – Occasional* Moving safely in confined spaces – Occasional* Lifting/Carrying (under 25 lbs.) – Occasional* Lifting/Carrying (over 25 lbs.) – Never* Squatting – Occasional* Bending – Occasional* Kneeling – Never* Crawling – Never* Climbing – Never* Reaching overhead – Never* Reaching forward – Occasional* Pushing – Never* Pulling – Never* Twisting – Never* Concentrating for long periods of time – Continuous* Applying common sense to deal with problems involving standardized situations – Continuous* Reading, writing and comprehending instructions – Continuous* Adding, subtracting, multiplying and dividing – ContinuousThe above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.**Who We Are**TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.**Our Total Rewards Package**
Our Total Rewards package reflects the investments we make in our colleagues #J-18808-Ljbffr
senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Communications Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.* **Global Control Room Procedures:** Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.* **Meetings &** **Reporting:** Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Global Control Room to senior leadership / governance and Boards. Assist the Global Head and key stakeholders with leading oversight / governance committees room; track and report on the status of remediation and modernization initiatives across the various GCR portfolios; and enhance and streamline the current reporting across regional committees and boards. Ensure operational issues are appropriately managed, addressed, tracked, and reported on in governance.* **Regulatory Responses and Internal Audits:** Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and exam inquiries as they relate to Global Control Room.* **Issues Management:** Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders.* **Quality Assurances**: Enhance the existing QA process across the GCR in order to
identify
themes and emerging risks, process and escalation enhancements.* **Program Enhancements**: Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.* **Training**: Work with the GCR Head and leads to develop appropriate training.* **Compliance Culture:** Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices.* **Stakeholder management:** Work across teams globally to build effective working relationships across diverse stakeholder groups.**Education & Experience:*** Bachelors degree required: JD or MBA preferred.* At least 7+ years of overall work experience, with a minimum of 5+ years of relevant banking/finance industry experience directly in Compliance Control Room.* Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations.* Experience managing complex regulatory remediation efforts.* Experience identifying regulatory risks and issues, and practical solutions to mitigate risk for Compliance Global Control Room.* Highest personal and professional integrity and standards to advance TD's vision and protect the brand.* Strong verbal and written communication skills.* Strategic thinker with excellent judgement able to deliver effectively on project and departmental issues.* Experience working in a fast-paced environment and manage multiple priorities well.* Ability to successfully operate in an evolving, sometimes ambiguous, matrixed environment.**General Job Posting:**The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.**Depth & Scope:*** 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**Education & Experience:*** Bachelors degree or progressive work experience* 5-7 Years of related experience**Physical Requirements:**Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%* Domestic Travel – Occasional* International Travel – Never* Performing sedentary work – Continuous* Performing multiple tasks – Continuous* Operating standard office equipment - Continuous* Responding quickly to sounds – Occasional* Sitting – Continuous* Standing – Occasional* Walking – Occasional* Moving safely in confined spaces – Occasional* Lifting/Carrying (under 25 lbs.) – Occasional* Lifting/Carrying (over 25 lbs.) – Never* Squatting – Occasional* Bending – Occasional* Kneeling – Never* Crawling – Never* Climbing – Never* Reaching overhead – Never* Reaching forward – Occasional* Pushing – Never* Pulling – Never* Twisting – Never* Concentrating for long periods of time – Continuous* Applying common sense to deal with problems involving standardized situations – Continuous* Reading, writing and comprehending instructions – Continuous* Adding, subtracting, multiplying and dividing – ContinuousThe above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.**Who We Are**TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.**Our Total Rewards Package**
Our Total Rewards package reflects the investments we make in our colleagues #J-18808-Ljbffr