TD Bank Group
Vice President, Compliance - Monitoring & Testing, TD Securities
TD Bank Group, New York, New York, us, 10261
Overview
Vice President,pliance - Monitoring & Testing, TD Securities Work Location : New York, New York, United States of America Hours
: 40 Line of Business
: pliance Pay Detail
: $145,000 - $185,000 USD TD ismitted to providing fair and equitablepensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Ourpensation 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 askpensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description : Thispliance Officer is a key member of the TDS USpliance Monitoring and Testing Team and Corepliance Group. The Monitoring and Testing Team sits in Corepliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. Thispliance Officer will also support other aspects of the Corepliance program as needed. pliance Monitoring and Testing Develop and design annual and cycle-basedpliance Testing and Monitoring plans Execute the annualpliance Testing plan. Determine test scopes, and design and develop effective test strategies and approaches. Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards. Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings. Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews. Oversee remediation of gaps identified in the Testing or Monitoring activities. Identify areas for enhanced Monitoring, Testing or training. Corepliance Design and develop Testing and Monitoring metrics, and contribute to department reporting Support issues management development and tracking ofpliance-identified findings. Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses Work closely with other support functions and the business areas to support a culture ofpliance across the firm. Participate in special projects as they arise to enhancepliance functions. Depth & Scope : Works independently and is accountable for managing a specializedpliance 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 ( 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 Preferred Qualifications : 7 or more years of experience with a registered US broker dealer, regulator, or global financial organization. JD desirable but not required Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. Excellent interpersonal, organizational, leadership andmunication (oral and written) skills. Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. Strong analytical skills, attention to detail, solid judgment, and the ability to evaluateplex regulatory business issues. 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, along with the ability to handle multiple assignments at the same time. Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size. A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm. Proficient in Word, Excel and PowerPoint 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 Applyingmon sense to deal with problems involving standardized situations - Continuous Reading, writing andprehending instructions - Continuous Adding, subtracting, multiplying and dividing - Continuous The 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,ernment, 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 equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, andmunity-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 to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variablepensation / incentive awards (, eligibility for cash and / or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more Additional Information : We\'re delighted that you\'re considering building a career with TD. Through regular development conversations, training programs, and apetitive benefits plan, we\'remitted to providing the support our colleagues need to thrive both at work and at home. Colleague Development
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Vice President,pliance - Monitoring & Testing, TD Securities Work Location : New York, New York, United States of America Hours
: 40 Line of Business
: pliance Pay Detail
: $145,000 - $185,000 USD TD ismitted to providing fair and equitablepensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Ourpensation 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 askpensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description : Thispliance Officer is a key member of the TDS USpliance Monitoring and Testing Team and Corepliance Group. The Monitoring and Testing Team sits in Corepliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. Thispliance Officer will also support other aspects of the Corepliance program as needed. pliance Monitoring and Testing Develop and design annual and cycle-basedpliance Testing and Monitoring plans Execute the annualpliance Testing plan. Determine test scopes, and design and develop effective test strategies and approaches. Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards. Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings. Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews. Oversee remediation of gaps identified in the Testing or Monitoring activities. Identify areas for enhanced Monitoring, Testing or training. Corepliance Design and develop Testing and Monitoring metrics, and contribute to department reporting Support issues management development and tracking ofpliance-identified findings. Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses Work closely with other support functions and the business areas to support a culture ofpliance across the firm. Participate in special projects as they arise to enhancepliance functions. Depth & Scope : Works independently and is accountable for managing a specializedpliance 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 ( 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 Preferred Qualifications : 7 or more years of experience with a registered US broker dealer, regulator, or global financial organization. JD desirable but not required Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. Excellent interpersonal, organizational, leadership andmunication (oral and written) skills. Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. Strong analytical skills, attention to detail, solid judgment, and the ability to evaluateplex regulatory business issues. 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, along with the ability to handle multiple assignments at the same time. Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size. A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm. Proficient in Word, Excel and PowerPoint 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 Applyingmon sense to deal with problems involving standardized situations - Continuous Reading, writing andprehending instructions - Continuous Adding, subtracting, multiplying and dividing - Continuous The 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,ernment, 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 equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, andmunity-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 to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variablepensation / incentive awards (, eligibility for cash and / or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more Additional Information : We\'re delighted that you\'re considering building a career with TD. Through regular development conversations, training programs, and apetitive benefits plan, we\'remitted to providing the support our colleagues need to thrive both at work and at home. Colleague Development
#J-18808-Ljbffr