Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$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. 

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:

The Director 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.

Key Responsibilities:

Design and implement a robust regulatory inquiries program that includes:

leading response to regulatory inquiries and subpoenas, including conducting investigations when needed

drafting responses

pulling relevant documentation

coordinating responses with stakeholders

centrally tracking all requests

preparing timely, comprehensive responses across relevant business lines

liaising with Legal and outside counsel, where necessary, to review and prepare responses

Develop and implement processes to streamline and standardize annual reporting to regulators across broker-dealers and swap dealers and draft relevant content

Act as a Compliance lead in relevant remediation projects, which will include:

conducting gap assessments

developing action plans

leading Compliance implementation efforts

reporting on remediation efforts

drafting memos and management responses

Prepare reporting and metrics on remediation efforts to be delivered to senior management committees and the Board of Directors of impacted TD entities

Manage a team to support these processes

Work closely with teams across the Compliance Department in development and enhancement of compliance programs

Participate in special projects as needed

Depth & Scope

Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.

Position deals with senior/executive management.

Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.

Focuses on longer-range planning for functional area (e.g. 12 months or greater).

Manages and prioritizes multiple projects at a given time.

Education & Experience:

Bachelors degree or progressive work experience

7-10 years related experience

Preferred Qualifications:

JD desirable but not required.

7-10 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 and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus.

Firm understanding of financial product rules and regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations. A willingness to learn new regulatory areas impacting products, behaviors and market participants.

Knowledge of trade and communications surveillance tools and vendors for detecting market abuse and manipulation.

Advanced understanding 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 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 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.

Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus.

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

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

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