VP, Global Control Room - Securities Aggregation

Location: New York

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** Work Location**:

New York, New York, United States of America
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* Hours:

** 40
* * Line of Business:
** Compliance
* * Pay Detail:**$150,000 - $180,000 USDTD 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.
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* Job Description:

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* Preferred Qualifications:

We are seeking an experienced Vice President to join the Compliance Control Room, focusing on Securities Aggregation, within the department's initiative and programs group.  The successful candidate will lead a newly formed function within the TD Securities Global Control Room to oversee the monitoring, calculation, and reporting of aggregated securities holdings across all relevant entities and business lines. This role will provide critical oversight to ensure compliance with key regulatory regimes and will play a central part in preventing operational, regulatory, and reputational risks associated with limit breaches.

The VP will work closely with Global Control Room Portfolio Management Director, Legal and Compliance partners to develop a robust program that provides transparency and control over securities holdings across the organization.
** KEY RESPONSIBILITIES
*** Design and implement an end‑to‑end securities aggregation monitoring program, including methodologies, data requirements, escalation procedures, and reporting standards.
* Establish governance structures, documentation, and policies to ensure consistent interpretation and application of regulatory thresholds.
* Implement holdings related restriction controls aligned to regulatory requirements (e.g., Bank Holding Company Act, sectoral foreign ownership rules).
* Oversee the daily/periodic aggregation of securities positions across all relevant TDS entities and accounts.
* Identify potential threshold breaches, execute timely escalation, and coordinate remediation activities.
* Advise senior stakeholders on regulatory exposure, required filings, and remediation actions.
* Produce periodic and ad‑hoc reporting for Management, Governance Committees, and Regulators.
* Lead investigations into potential holding limit breaches and coordinate corrective action plans.
* Assess root causes and drive sustainable process enhancements to prevent recurrence.
* Support regulatory exams and internal audits.
* Identify control gaps and drive implementation of enhanced systems, feeds, and aggregation logic.
* Partner with Technology to enhance automation and integrity of aggregation data.
** QUALIFICATIONS
* ** Bachelor's degree required: JD or MBA preferred.
* 10+ years of relevant experience in securities regulation, compliance, risk management, or related functions.
* Deep knowledge of regulatory frameworks governing securities ownership (BHC Act, foreign ownership restrictions, sectoral limits).
* Strong analytical and data‑governance skills with experience in complex data environments.
* Proven ability to build new functions or programs, including policy development and control design.
* Exceptional stakeholder management and communication skills, including senior executive engagement.
* Experience with Fund Apps or similar vendors.
* General

Job Description:

* 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…