Vice President, Compliance - Regulatory Exam Management - TD Securities

Position: Vice President, Compliance - Regulatory Exam Management - TD Securities (US)
Location: New York

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**** Work Location**:

New York, New York, États-Unis d'Amérique
*
* Hours:

** 40
* * Line of Business:
** Conformité
** Pay Detail:**$150,000 - $185,000 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:

** Our TD Securities Compliance department is looking to hire a VP to join the Regulatory Exam Management team in our New York City office (US headquarters).
** Job Overview:
*** Manage regulatory examinations covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators.
* Support TD's ongoing supervision program running recurring and ad hoc meetings with the Firm's prudential and securities regulators and handle deep dive meeting requests.
* Provide regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
* Analyze and summarize information/documentation responsive to regulatory requests.
* Communicate extensively (orally and in writing) and develop effective relationships with regulators and communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings.
* Prepare substantive written responses to regulatory requests and examination reports and work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests.
* Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements.
* Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.
* Execute issues management process for tracking regulatory findings.
* Assist in the ongoing development of core compliance processes as needed.
* Participate in enterprise-wide special projects as needed.
** Depth & Scope:
*** Manages regulatory reviews including inquiries, audits, and exams.
* Works independently and is accountable for managing a specialized area, business or function.
* Subject matter expert for a functional area.
* Key contact for business management, regulators, and external/internal auditors, dealing with routine and non-routine information.
* Focuses on short to mid-range planning (e.g. 6-12 months).
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* Preferred Qualifications:

*** 7 or more years of…