TD Bank Group
VP Compliance, US Core Control Room (San Francisco or NYC) - TD Securities
TD Bank Group, San Francisco, California, United States, 94199
Responsibilities
Maintain the TD Securities Grey and Restricted lists.
Chaperone interactions andmunications between Research and Investment Banking.
Review and approve US and Canadian equity Research with an understanding of US and Canadian Research rules.
Daily engagement with Research and Investment Banking to provide advice and guidance to business partners, conduct deal updates, answer and respond to conflicts clearance requests, and work through questions from the global Control Room inbox.
Review and elevate conflict checks for the Investment Bank.
Participate in regulatory exams and work with internal auditors.
Participate in different Control Room projects with Technology and project management teams.
Work closely with Control Room partners in the Toronto, Singapore and London Control Room.
Work closely withpliance Advisory and Legal as needed.
Job Requirements and Qualifications
Bachelor's degree and 7+ years relevant experience.
Previous experience with reviewing Research against Investment Banking transactions.
A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards.
Understanding of US Research Safe Harbors (US securities law, Rules 137, 138, and 139 of the Securities Act of 1933)
Excellent verbal and writtenmunication skills and strong professional demeanor.
Proven ability to work well on teams, showing initiative, a positive attitude, and a willingness to work hard independently as well.
High level of ethical standards, integrity, and judgement.
Organized, self-motivated, detail and deadline oriented.
Ability to understand and analyzepliance issues and commercially provide effective tactical and strategic solutions.
Securities licenses preferred but not required.
Willing to work flexible hours in hybrid in-office / work from home model and occasional weekends.
Highly proficient in Microsoft Office, including the ability to workfortably within Excel.
General Job Description The VPpliance 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 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
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 Colleague Development
#J-18808-Ljbffr
Maintain the TD Securities Grey and Restricted lists.
Chaperone interactions andmunications between Research and Investment Banking.
Review and approve US and Canadian equity Research with an understanding of US and Canadian Research rules.
Daily engagement with Research and Investment Banking to provide advice and guidance to business partners, conduct deal updates, answer and respond to conflicts clearance requests, and work through questions from the global Control Room inbox.
Review and elevate conflict checks for the Investment Bank.
Participate in regulatory exams and work with internal auditors.
Participate in different Control Room projects with Technology and project management teams.
Work closely with Control Room partners in the Toronto, Singapore and London Control Room.
Work closely withpliance Advisory and Legal as needed.
Job Requirements and Qualifications
Bachelor's degree and 7+ years relevant experience.
Previous experience with reviewing Research against Investment Banking transactions.
A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards.
Understanding of US Research Safe Harbors (US securities law, Rules 137, 138, and 139 of the Securities Act of 1933)
Excellent verbal and writtenmunication skills and strong professional demeanor.
Proven ability to work well on teams, showing initiative, a positive attitude, and a willingness to work hard independently as well.
High level of ethical standards, integrity, and judgement.
Organized, self-motivated, detail and deadline oriented.
Ability to understand and analyzepliance issues and commercially provide effective tactical and strategic solutions.
Securities licenses preferred but not required.
Willing to work flexible hours in hybrid in-office / work from home model and occasional weekends.
Highly proficient in Microsoft Office, including the ability to workfortably within Excel.
General Job Description The VPpliance 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 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
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 Colleague Development
#J-18808-Ljbffr