TD Bank Group
Vice President - U.S. Markets Investment Banking Compliance Advisory
TD Bank Group, New York, New York, us, 10261
Responsibilities
Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of equity and debt securities.
Assist in the development and build out of a global Investment Banking compliance program and Control Room across Canada, US, Europe and Asia Pacific.
Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking compliance across all jurisdictions.
Ensure day-to-day activities of the Investment Banking compliance team are in a manner consistent with the Bank's risk culture and the relevant risk appetite statement and limits.
Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function / business / product, including cross-border impact.
Participate in industry groups and trade association working groups or other forums.
Accountable for the investigative process related to possible instances of non‑compliance and ensures escalation to the appropriate teams / individuals for appropriate remediation or corrective actions as required.
Assist with development and delivery of training program for front office personnel and relevant control personnel.
Position Requirements
5-7+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
Experience in providing legal, regulatory or compliance advice to Markets sales and trading.
Knowledge of Corporate Investment Banking and Capital Markets.
Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC.
Excellent oral and written communication skills.
Ability to make, support and defend difficult and complex regulatory compliance decisions in a fast‑paced and high‑pressure environment.
Ability to project confidence and professionalism in dealings with senior business personnel.
Strong knowledge of technology infrastructure and global booking models.
Ability to work on multiple projects in a fast paced environment.
Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally.
JD a plus.
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 (6-12 months).
Manages regulatory reviews including inquiries, audits, and exams.
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 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 to help them and their families achieve their financial, physical and mental well‑being goals. Total Rewards at TD includes base salary and variable compensation / 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 appetitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
#J-18808-Ljbffr
Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of equity and debt securities.
Assist in the development and build out of a global Investment Banking compliance program and Control Room across Canada, US, Europe and Asia Pacific.
Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking compliance across all jurisdictions.
Ensure day-to-day activities of the Investment Banking compliance team are in a manner consistent with the Bank's risk culture and the relevant risk appetite statement and limits.
Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function / business / product, including cross-border impact.
Participate in industry groups and trade association working groups or other forums.
Accountable for the investigative process related to possible instances of non‑compliance and ensures escalation to the appropriate teams / individuals for appropriate remediation or corrective actions as required.
Assist with development and delivery of training program for front office personnel and relevant control personnel.
Position Requirements
5-7+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
Experience in providing legal, regulatory or compliance advice to Markets sales and trading.
Knowledge of Corporate Investment Banking and Capital Markets.
Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC.
Excellent oral and written communication skills.
Ability to make, support and defend difficult and complex regulatory compliance decisions in a fast‑paced and high‑pressure environment.
Ability to project confidence and professionalism in dealings with senior business personnel.
Strong knowledge of technology infrastructure and global booking models.
Ability to work on multiple projects in a fast paced environment.
Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally.
JD a plus.
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 (6-12 months).
Manages regulatory reviews including inquiries, audits, and exams.
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 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 to help them and their families achieve their financial, physical and mental well‑being goals. Total Rewards at TD includes base salary and variable compensation / 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 appetitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
#J-18808-Ljbffr