VP, Global Control Room – Initiatives & Portfolio Management; NY or Toronto – TD Securities

Work Location

New York, New York, United States of America

40

Compliance

$150,000 – $185,000 USD

TD Securities is seeking an experienced and strategic Vice President to join our Compliance Control Room, focusing on portfolio management of the department’s initiatives & programs. The successful hire will assist the Global Control Room Head and the GCR Portfolio Management Head with implementing a program focused on the initiatives below:

• Global Control Room Portfolio Management
  :
  Work with the senior members of the Global Control Room, DDI, technology and key stakeholders (e.g., Communications Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.
• Global Control Room Procedures
  :
  Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.
• Meetings & Reporting
  :
  Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Global Control Room to senior leadership / governance and Boards. Assist the Global Head and key stakeholders with leading oversight / governance committees room; track and report on the status of remediation and modernization initiatives across the various GCR portfolios; and enhance and streamline the current reporting across regional committees and boards.
  
  Ensure operational issues are appropriately managed, addressed, tracked, and reported on in governance.
• Regulatory Responses and Internal Audits
  :
  Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and exam inquiries as they relate to Global Control Room.
• Issues Management
  :
  Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed with key stakeholders.
• Quality Assurances
  :
  Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancements.
• Program Enhancements
  :
  Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.
• Training
  :
  Work with the GCR Head and leads to develop appropriate training.
• Compliance Culture
  :
  Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. With the business and other Risk partners, promote a strong governance & control environment with periodic assessments against industry practices.
• Stakeholder management
  :
  Work across teams globally to build effective working relationships across diverse stakeholder groups.

• Bachelors degree required: JD or MBA preferred.
• At least 7+ years of overall work experience, with a minimum of 5+ years of relevant banking/finance industry experience directly in Compliance Control Room.
• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations.
• Experience managing complex regulatory remediation efforts.
• Experience identifying regulatory risks and issues, and practical solutions to mitigate risk for Compliance Global Control Room.
• Highest personal and professional integrity and standards to advance TD’s vision and protect the brand.
• Strong verbal and written communication skills.
• Strategic thinker with excellent judgement able to deliver effectively on project and departmental issues.
• Experience working in a fast-paced environment and manage multiple priorities well.
• Ability to successfully operate in an evolving, sometimes ambiguous, matrixed environment.

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…