Director - Bank Regulatory Compliance Officer, TD Securities (US)

About the role

This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within U.S. Wholesale Compliance focused on remediation and program development and improvement within TDS.

Responsibilities

• Work with stakeholders throughout the Firm to build out, maintain and enhance the bank regulatory compliance program for TD Securities' wholesale business
• Provide stakeholders within TD's wholesale business real-time interpretive guidance on application of OCC and FRB Regulations (including, without limitation, FRB Regulation W) and relevant regulatory guidance
• Provide effective second line challenge with respect to activities involving TD's New York Branch, including performing reviews and developing and implementing monitoring protocols and other second line controls
• Work closely with Volcker Compliance and front office teams on issues impacting TD's New York Branch
• Draft interpretive memoranda; maintain relevant policies and procedures, including applicable Compliance manuals
• Develop, maintain, and deliver electronic and live compliance training on relevant topics
• Aid the business and support functions with implementing and documenting various supervisory controls and operational processes
• Participate in internal investigations, draft responses to regulatory examination questions, guide stakeholders through exam-related remediations, and coordinate internal and external audits and management responses as needed
• Participate in special projects as needed

Requirements

• Preferred Qualifications: BA/BS, or a similar degree, required. JD desirable but not required.
• Experience as bank regulatory compliance SME either within Compliance or Legal at complex financial services institution
• Strong understanding of FRB and OCC regulations and guidance and their application across diverse array of businesses and products
• 8 to 10 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator
• Candidate will be expected to provide key stakeholders with actionable guidance, advice, implementation support, issue-spotting, and effective challenge in a fast-paced, delivery-oriented, and diverse environment
• Analyze regulatory changes and developments that impact in-scope areas. Advise stakeholders regarding impacts to business-as-usual activities, as well as net new regulatory requirements
• Firm understanding of financial product rules and regulatory landscape
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills
• Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships
• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues
• Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills
• Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus

Qualifications

• Bachelor’s degree or progressive work experience
• 7-10 years related experience

Skills

• Strong understanding of FRB and OCC regulations and guidance and their application across diverse array of businesses and products
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills
• Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships
• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues
• Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills
• Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus

Pay

$180,000 - $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.

Schedule

Full-time

Benefits

TD offers a comprehensive benefits package including 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.

Pay

$180,000 - $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.