TD
Director, Compliance - Regulatory Initiatives, TD Securities
TD, New York, New York, us, 10261
Overview
Director, Compliance - Regulatory Initiatives, TD Securities Work Location:
New York, New York, United States Hours:
40 hours per week Line Of Business:
Compliance Pay Detail:
$180,000 - $225,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Our compensation policies and practices allow colleagues to progress through the salary range over time as they progress in their role. The base pay offered may vary based on skills, experience, location, and other business needs. As a candidate, you are encouraged to ask compensation-related questions and have an open dialogue with your recruiter for more details. Job Description:
The Director, Compliance – Regulatory Initiatives oversees and leads a team of specialists providing advice, guidance and expertise on regulatory requirements and assists business units in managing regulatory risk.
Key Responsibilities
Design and implement a robust regulatory inquiries program, including:
leading responses to regulatory inquiries and subpoenas, including investigations when needed
drafting responses
pulling relevant documentation
coordinating responses with stakeholders
centrally tracking all requests
preparing timely, comprehensive responses across relevant business lines
liaising with Legal and outside counsel to review and prepare responses
Develop and implement processes to streamline and standardize annual regulatory reporting across broker-dealers and swap dealers, and draft relevant content.
Act as a Compliance lead in remediation projects, including:
conducting gap assessments
developing action plans
leading Compliance implementation efforts
reporting on remediation efforts
drafting memos and management responses
Prepare reporting and metrics on remediation efforts for senior management committees and the Board of Directors of impacted TD entities.
Manage a team to support these processes.
Work closely with teams across the Compliance Department to develop and enhance compliance programs.
Participate in special projects as needed.
Depth & Scope
Accountable for a significant area of Compliance with enterprise-wide impact.
Engages with senior/executive management and serves as a key contact for business management, regulators, and auditors.
Focuses on longer-range planning (12 months or greater) and manages multiple projects concurrently.
Education & Experience
Bachelor's degree or progressive work experience
7-10 years related experience
Preferred Qualifications
JD desirable but not required
7-10 years of experience with a registered US broker-dealer, swap dealer, GSIB, or related regulator
Strong understanding of global securities and derivative products and markets; experience in trade or communications surveillance is a plus
Knowledge of financial product rules, regulatory landscape, and market abuse surveillance concepts
Familiarity with trade and communications surveillance tools
Analytical, data-driven with strong attention to detail
Excellent interpersonal, organizational, leadership and communication skills
Client service orientation and ability to partner with senior managers globally
Advanced project management skills and ability to manage multiple workstreams with limited oversight
Ability to thrive in a fast-paced, deadline-driven environment
Proficiency in Excel, Word, PowerPoint and SharePoint; knowledge of markets surveillance systems is a plus
Physical Requirements Domestic travel: Occasional; International travel: Never. Sedentary work and typical office tasks; ability to concentrate for long periods and perform routine computations.
EEO Statement / Accommodation:
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or veteran status. If you require accommodations during the application process, please email USWAPTDO@td.com with your name, best contact method, and accommodation details.
Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients that value innovation and execution. We operate globally with more than 6,500 professionals and multiple offices worldwide.
#J-18808-Ljbffr
Director, Compliance - Regulatory Initiatives, TD Securities Work Location:
New York, New York, United States Hours:
40 hours per week Line Of Business:
Compliance Pay Detail:
$180,000 - $225,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Our compensation policies and practices allow colleagues to progress through the salary range over time as they progress in their role. The base pay offered may vary based on skills, experience, location, and other business needs. As a candidate, you are encouraged to ask compensation-related questions and have an open dialogue with your recruiter for more details. Job Description:
The Director, Compliance – Regulatory Initiatives oversees and leads a team of specialists providing advice, guidance and expertise on regulatory requirements and assists business units in managing regulatory risk.
Key Responsibilities
Design and implement a robust regulatory inquiries program, including:
leading responses to regulatory inquiries and subpoenas, including investigations when needed
drafting responses
pulling relevant documentation
coordinating responses with stakeholders
centrally tracking all requests
preparing timely, comprehensive responses across relevant business lines
liaising with Legal and outside counsel to review and prepare responses
Develop and implement processes to streamline and standardize annual regulatory reporting across broker-dealers and swap dealers, and draft relevant content.
Act as a Compliance lead in remediation projects, including:
conducting gap assessments
developing action plans
leading Compliance implementation efforts
reporting on remediation efforts
drafting memos and management responses
Prepare reporting and metrics on remediation efforts for senior management committees and the Board of Directors of impacted TD entities.
Manage a team to support these processes.
Work closely with teams across the Compliance Department to develop and enhance compliance programs.
Participate in special projects as needed.
Depth & Scope
Accountable for a significant area of Compliance with enterprise-wide impact.
Engages with senior/executive management and serves as a key contact for business management, regulators, and auditors.
Focuses on longer-range planning (12 months or greater) and manages multiple projects concurrently.
Education & Experience
Bachelor's degree or progressive work experience
7-10 years related experience
Preferred Qualifications
JD desirable but not required
7-10 years of experience with a registered US broker-dealer, swap dealer, GSIB, or related regulator
Strong understanding of global securities and derivative products and markets; experience in trade or communications surveillance is a plus
Knowledge of financial product rules, regulatory landscape, and market abuse surveillance concepts
Familiarity with trade and communications surveillance tools
Analytical, data-driven with strong attention to detail
Excellent interpersonal, organizational, leadership and communication skills
Client service orientation and ability to partner with senior managers globally
Advanced project management skills and ability to manage multiple workstreams with limited oversight
Ability to thrive in a fast-paced, deadline-driven environment
Proficiency in Excel, Word, PowerPoint and SharePoint; knowledge of markets surveillance systems is a plus
Physical Requirements Domestic travel: Occasional; International travel: Never. Sedentary work and typical office tasks; ability to concentrate for long periods and perform routine computations.
EEO Statement / Accommodation:
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or veteran status. If you require accommodations during the application process, please email USWAPTDO@td.com with your name, best contact method, and accommodation details.
Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients that value innovation and execution. We operate globally with more than 6,500 professionals and multiple offices worldwide.
#J-18808-Ljbffr