Vice President, Compliance Regulatory Initiatives – Training – TD Securities

Work Location

New York, New York, United States of America

40

Compliance

$140,000 – $180,000 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 role will be a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within U.S. Wholesale Compliance focused on remediation and program development and improvement within TDS.

• Responsible for designing and implementing a robust Compliance training program, including:
• Conducting periodic risk-based needs analysis for in-scope business lines
• Developing and maintaining annual training plan and tracking plan to completion
• Working with subject matter experts to develop training content
• Deploying online training modules and supporting delivery of in-person trainings
• Developing methods to measure training effectiveness over time
• Tracking training completion and developing escalation processes for non-completion
• Active participation in ongoing remediation efforts in particular with respect to training related deliverables
• Track and oversee progress of applicable internal and external audit issues relating to TDS US Compliance
• Support regulatory challenge frameworks to support completion of regulatory deliverables
• Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Compliance regulatory initiatives to senior management, relevant boards and external stakeholders.
• Support development of centralized functions within U.S. Wholesale Compliance including policies, training and inquiries
• Participate in special projects as needed

• 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 remediations

• Bachelor’s degree or progressive work experience
• At least 5-7 years of directly related Compliance experience

• Experience with a registered US broker dealer, regulator, or global financial organization.
• Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution.
• Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• 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.
• 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, along with the ability to handle multiple assignments at the same time.
• Ability to interact effectively with all levels of the organization and to work collaboratively…