Vice President, Regulatory Exam Management, TD Securities

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$115,000 - $190,000 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.

The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Job Overview:

• Manage regulatory examinations covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators.

• Support TD's ongoing supervision program running quarterly and ad hoc meetings with the Firm's prudential regulators and handle deep dive meeting requests

• Provide regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.

• Analyze and summarize information/documentation responsive to regulatory requests.

• Communicate extensively (orally and in writing) and develop effective relationships with regulators and communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings.

• Prepare substantive written responses to regulatory requests and examination reports, and work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests.

• Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements.

• Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.

• Execute issues management process for tracking regulatory findings.

• Assist in the ongoing development of core compliance processes as needed.

• Participate in enterprise-wide special projects as needed.

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 (e. g. 6-12 months)

• Manages regulatory reviews including inquiries, audits, and exams

Education & Experience:

• Bachelors degree or progressive work experience

• 5-7 Years of related experience

Preferred Qualifications:

• Seven or more years securities compliance or related securities experience required.

• JD desirable but not required.

• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable 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.

• Project management skills and ability to manage multiple work streams involving different partners and groups.

• 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

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 U. S. 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 (e. g. , 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 (/hrportal. ehr. com/tdtotalrewards)

Additional Information:

We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

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