Vice President, Compliance - Monitoring & Testing, TD Securities (US)

About the role

We are looking to hire a new Vice President, Compliance at TD Securities (US) to be a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group.

Responsibilities

• Develop and design annual and cycle-based Compliance Testing and Monitoring plans.
• Execute the annual Compliance 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.
• Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge.
• 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.
• Design and develop Testing and Monitoring metrics, and contribute to department reporting.
• Support issues management development and tracking of Compliance-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 of compliance across the firm.
• Participate in special projects as they arise to enhance Compliance functions.

Requirements

• 7+ years of experience with a registered US broker dealer, regulator, or global financial organization.
• JD degree desirable but not required.
• Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, leadership and communication (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 evaluate complex 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.

Qualifications

• Bachelor’s degree or progressive work experience.
• 5-7 Years of related experience.

Skills

• Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution.
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex 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.

Benefits

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.

Pay

$150,000 - $180,000 USD yearly

Schedule

Hours 40