Vice President, Compliance - Monitoring & Testing

Work Location:
New York, New York, United States of America

Hours:
40

Line of Business:
Compliance

Pay Detail:
$160,000 - $187,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues.
The included salary range for this role takes into account multiple factors that are considered in making compensation decisions.
The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs.
As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.


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

Job Description: Preferred Qualifications:

This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group.
The Monitoring and Testing Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe.
This Compliance Officer will also support other aspects of the Core Compliance program as needed.


Depth and Scope: Execute the annual Compliance testing and monitoring plan Lead testing engagements, sometimes concurrently and independently, from scoping to final workpapers and report issuance.
Prepare workpapers for each test in accordance with firm standards.
Prepare comprehensive reports for management that highlights the scope, testing approach and the overall results and findings of the compliance testing review.
Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of report issuance.
Oversee remediation of gaps identified in the testing process and track issues to closure Support issues management development and tracking of Compliance-identified findings Participate in special projects as they arise to enhance compliance functions Work closely with other support functions and the business areas to support a culture of compliance across the firm Execute Branch Inspections.
Assist in identifying areas for enhanced monitoring or training Education and Experience: BA/BS, or a similar degree, required.
7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus.
JD desirable but not required Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
Knowledge of US laws, rules and regulations pertaining to Swap Dealers, including Dodd-Frank and Volcker Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
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.
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 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 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.


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 Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel - Occasional International Travel - Never Performing sedentary work - Continuous Performing multiple tasks - Continuous Operating standard office equipment - Continuous Responding quickly to sounds - Occasional Sitting - Continuous Standing - Occasional Walking - Occasional Moving safely in confined spaces - Occasional Lifting/Carrying (under 25 lbs.)
- Occasional Lifting/Carrying (over 25 lbs.)
- Never Squatting - Occasional Bending - Occasional Kneeling - Never Crawling - Never Climbing - Never Reaching overhead - Never Reaching forward - Occasional Pushing - Never Pulling - Never Twisting - Never Concentrating for long periods of time - Continuous Applying common sense to deal with problems involving standardized situations - Continuous Reading, writing and comprehending instructions - Continuous Adding, subtracting, multiplying and dividing - Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.
They are not intended to be an exhaustive list of all responsibilities, duties and skills required.
The listed or specified responsibilities & duties are considered essential functions for ADA purposes.


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

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.


Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed.
You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.


Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.


Interview Process
We'll reach out to candidates of interest to schedule an interview.
We do our best to communicate outcomes to all applicants by email or phone call.


Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO[redacted] Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.


All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.