VP – Compliance Monitoring Program, TD Securities

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

Hours : 40

Line of Business :
Compliance

Pay Detail : $140,000 – $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  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.

This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the development, implementation and coordination of the Monitoring program, as well as aspects of compliance test execution that contribute to the Compliance coverage plan. The M&T 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.

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.

• Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing routines for inclusion into the program, enhancing and implementing key program aspects and coordinating program elements with stakeholders across all lines of defense.
• Collaborate with colleagues globally to develop and enhance ongoing and potential Monitoring Activities (“MA”).
• Evaluate and enhance the viability of MAs through scope and sampling alignment; support MA execution improvements; collate, document and evidence organization and record retention.
• Conduct quality assurance of MAs against the enterprise standards and help to maintain efficient and effective coverage.
• Maintain and update procedures and templates as required.
• Monitor program progress and develop MIS reporting for ongoing tracking and evaluation of Monitoring Activities.
• Communicate deficiencies to key stakeholders and exercise credible challenge.
• Assist Compliance testing with test execution that contributes to the overall Compliance Coverage plan.
• Support issue management and support 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

• 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

• Bachelors degree or progressive work experience
• 5-7 Years of related experience

• JD 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 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…