Vice President, Compliance - Monitoring & Testing, US Compliance Oversight Program - 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 TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, implementing and coordinating the Compliance Oversight program of first line Risk Owner (RO) activities contributing to the overall Compliance coverage plan. The M&T Team sits within Core Compliance and covers the TDS US and global businesses, working with regional teams across the globe. The VP Compliance will also support other aspects of the Core Compliance program as needed.

Responsibilities

• Assist with developing, implementing, and coordinating the Compliance Oversight program, including evaluating program design, analyzing Risk Owner testing and monitoring routines contributing to Compliance coverage plans, and enhancing and implementing key program elements.
• Collaborate with colleagues globally to evaluate and coordinate RO and Compliance Test and Monitoring Plan coverage of key risks and business units.
• Evaluate the viability of RO's test and monitoring routines against firmwide standards, procedures and best practices, documenting analysis of test and monitoring coverage, execution methodology, sampling adherence and record creation.
• Monitor and communicate program effectiveness to stakeholders and senior management to ensure program viability and coverage integrity.
• Communicate deficiencies to key stakeholders, and exercise credible challenge.
• Maintain and update procedures, templates and tools in support of the Oversight program.
• Support issue management, and a culture of compliance across the enterprise.
• Participate in, and contribute towards, working groups and collaborative efforts.
• Participate in special projects as they arise to enhance the overall Core Compliance functions.

Qualifications

• A BA/BS or a similar degree.
• A JD degree desirable but not required.
• 7+ years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.
• Firm understanding of global security and derivative products, markets and systems at financial institutions including operational, trading, and deal management practices and activities.
• Firm understanding of financial product laws, rules and regulatory landscape, and a willingness to learn new regulatory areas impacting products, behaviors and market participants.
• Advanced knowledge of testing or audit concepts and principles, as well as control analysis and evaluation.
• 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 and business 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.
• Advanced project management skills and ability to manage multiple work streams simultaneously while engaging with different partners and groups.
• 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.

Preferred Qualifications

• BA/BS or a similar degree.
• JD degree desirable but not required.
• 7+ years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.
• Firm understanding of global security and derivative products, markets and systems at financial institutions including operational, trading, and deal management practices and activities.
• Firm understanding of financial product laws, rules and regulatory landscape, and a willingness to learn new regulatory areas impacting products, behaviors and market participants.
• Advanced knowledge of testing or audit concepts and principles, as well as control analysis and evaluation.
• 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 and business 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.
• Advanced project management skills and ability to manage multiple work streams simultaneously while engaging with different partners and groups.
• 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.

Benefits

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.

Pay

$150,000 - $180,000 USD

Schedule

40 hours per week