TD Securities
Director – Regulatory Management & Remediation
Join to apply for the
Director – Regulatory Management & Remediation
role at
TD Securities Overview
The TD Securities U.S. Regulatory Management & Remediation team is responsible for the planning, execution, and delivery of key regulatory initiatives for our US Wholesale business, building foundational capabilities across our teams and providing strategic oversight into remediation approach and execution. The team partners closely with senior leaders across Risk, Legal, HR, Compliance, Audit and will work in close alignment with our TDGUS and CUSO operations and governance forums to ensure alignment with integrated remediation activities to our regulators. Work Location and Details
Work Location : New York, New York, United States of America Hours : 40 Line Of Business : TD Securities Pay Detail : $190,000 - $225,000 USD TD 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
Role readiness
and approach to change management are valued in TD Securities. The role requires strategic delivery management to support the organization and career growth. The TD Securities U.S. Regulatory Management & Remediation team is responsible for the planning, execution, and delivery of key regulatory initiatives for our US Wholesale business, building foundational capabilities across our teams and providing strategic oversight into remediation approach and execution. Responsibilities
– The Senior Manager / Director – Regulatory Management and Remediation Office will: Lead end-to-end remediation across all businesses and technology aspects of the project with remediating and integrating an operating model to maximize efficiency, effectiveness and scalability Drive regulatory remediation in partnership with Internal Audit Validations and Governance standards Align all departments on objectives into a shared vision Provide leadership to technology and business partners to translate requirements into delivery with analyses and recommendations that meet business objectives in a timely and cost-effective manner Establish and manage resource plans, issues, risks, and financial plans to support the roadmap Anticipate issues, trends and potential impacts; resolve impediments; manage program schedule (releases) and financials; prioritize work Coordinate with enterprise control partners to select, engage and manage external service providers as required Maintain energy, productivity, and focus amid challenges, ambiguity, change or demanding conditions Apply expert judgment when proposing solutions/recommendations Formulate cohesive recommendations on delivery approaches after stakeholder consultation on effort, resources, dependencies, and constraints Build and foster a cohesive team and positive work environment Think strategically with strong business acumen Stay focused under pressure and demonstrate resilience Clearly communicate complex financial concepts and gain consensus on implementation methodology Progress on multiple priorities concurrently in evolving circumstances Amalgamate and interpret large information sets to identify clarifications and next steps Build trust with stakeholder groups and maintain relationships across departments Lead an effective and diverse team to deliver productivity, quality, and innovation Job Requirements Knowledge of project delivery methodologies (including PDLC and TD Agile scaling frameworks) Knowledge of risk framework and metrics Knowledge of Capital Markets Knowledge of regulatory requirements Experience navigating governance and control standards Experience in audit remediations Ability to apply industry frameworks and techniques Results-oriented with a passion to succeed Flexible with the ability to course-correct Adaptive communication skills Ability to build and motivate teams High threshold for ambiguity Entrepreneurial mindset Drive for continuous improvement Ability to influence all parties while driving remediation Prior experience delivering major regulatory programs, audit validation, and/or infrastructure implementations is an asset Familiarity with governance and control, market risk, valuation, data science or accounting concepts in a capital markets context High-level understanding of financial products and models Education Requirements
University degree or equivalent CFA or FRM designation an asset Master\'s Degree in related discipline an asset Here’s how we describe the depth and scope
Ensures end-to-end delivery of projects Collaborates with stakeholders to align plans, timelines, expectations, and deliverables Builds consensus among diverse groups to meet project deliverables Delivers project within scope, timeline, and budget Manages issues and risks with escalation when needed Communicates project status to stakeholders Manages project financials and benefits realization Maintains project management artifacts per governance standards Acts as subject matter expert in project management practices Manages projects through the Project Management Life Cycle including testing deliverables About TD Securities
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. We are growth-oriented, people-focused, and community-minded. TD acquired Cowen Inc. in 2023 to expand our U.S. equities business and research franchise. Equal Opportunity & Accessibility
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, status as a protected veteran or any other characteristic protected by law. If you require accommodations during the application process, please contact us at the provided email address. We’ll reach out to candidates of interest to schedule an interview and strive to communicate outcomes to all applicants by email or phone. Referrals increase your chances of interviewing at TD Securities. Get notified about new Legal Director jobs in New York, NY.
#J-18808-Ljbffr
Join to apply for the
Director – Regulatory Management & Remediation
role at
TD Securities Overview
The TD Securities U.S. Regulatory Management & Remediation team is responsible for the planning, execution, and delivery of key regulatory initiatives for our US Wholesale business, building foundational capabilities across our teams and providing strategic oversight into remediation approach and execution. The team partners closely with senior leaders across Risk, Legal, HR, Compliance, Audit and will work in close alignment with our TDGUS and CUSO operations and governance forums to ensure alignment with integrated remediation activities to our regulators. Work Location and Details
Work Location : New York, New York, United States of America Hours : 40 Line Of Business : TD Securities Pay Detail : $190,000 - $225,000 USD TD 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
Role readiness
and approach to change management are valued in TD Securities. The role requires strategic delivery management to support the organization and career growth. The TD Securities U.S. Regulatory Management & Remediation team is responsible for the planning, execution, and delivery of key regulatory initiatives for our US Wholesale business, building foundational capabilities across our teams and providing strategic oversight into remediation approach and execution. Responsibilities
– The Senior Manager / Director – Regulatory Management and Remediation Office will: Lead end-to-end remediation across all businesses and technology aspects of the project with remediating and integrating an operating model to maximize efficiency, effectiveness and scalability Drive regulatory remediation in partnership with Internal Audit Validations and Governance standards Align all departments on objectives into a shared vision Provide leadership to technology and business partners to translate requirements into delivery with analyses and recommendations that meet business objectives in a timely and cost-effective manner Establish and manage resource plans, issues, risks, and financial plans to support the roadmap Anticipate issues, trends and potential impacts; resolve impediments; manage program schedule (releases) and financials; prioritize work Coordinate with enterprise control partners to select, engage and manage external service providers as required Maintain energy, productivity, and focus amid challenges, ambiguity, change or demanding conditions Apply expert judgment when proposing solutions/recommendations Formulate cohesive recommendations on delivery approaches after stakeholder consultation on effort, resources, dependencies, and constraints Build and foster a cohesive team and positive work environment Think strategically with strong business acumen Stay focused under pressure and demonstrate resilience Clearly communicate complex financial concepts and gain consensus on implementation methodology Progress on multiple priorities concurrently in evolving circumstances Amalgamate and interpret large information sets to identify clarifications and next steps Build trust with stakeholder groups and maintain relationships across departments Lead an effective and diverse team to deliver productivity, quality, and innovation Job Requirements Knowledge of project delivery methodologies (including PDLC and TD Agile scaling frameworks) Knowledge of risk framework and metrics Knowledge of Capital Markets Knowledge of regulatory requirements Experience navigating governance and control standards Experience in audit remediations Ability to apply industry frameworks and techniques Results-oriented with a passion to succeed Flexible with the ability to course-correct Adaptive communication skills Ability to build and motivate teams High threshold for ambiguity Entrepreneurial mindset Drive for continuous improvement Ability to influence all parties while driving remediation Prior experience delivering major regulatory programs, audit validation, and/or infrastructure implementations is an asset Familiarity with governance and control, market risk, valuation, data science or accounting concepts in a capital markets context High-level understanding of financial products and models Education Requirements
University degree or equivalent CFA or FRM designation an asset Master\'s Degree in related discipline an asset Here’s how we describe the depth and scope
Ensures end-to-end delivery of projects Collaborates with stakeholders to align plans, timelines, expectations, and deliverables Builds consensus among diverse groups to meet project deliverables Delivers project within scope, timeline, and budget Manages issues and risks with escalation when needed Communicates project status to stakeholders Manages project financials and benefits realization Maintains project management artifacts per governance standards Acts as subject matter expert in project management practices Manages projects through the Project Management Life Cycle including testing deliverables About TD Securities
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. We are growth-oriented, people-focused, and community-minded. TD acquired Cowen Inc. in 2023 to expand our U.S. equities business and research franchise. Equal Opportunity & Accessibility
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, status as a protected veteran or any other characteristic protected by law. If you require accommodations during the application process, please contact us at the provided email address. We’ll reach out to candidates of interest to schedule an interview and strive to communicate outcomes to all applicants by email or phone. Referrals increase your chances of interviewing at TD Securities. Get notified about new Legal Director jobs in New York, NY.
#J-18808-Ljbffr