Director, Compliance - Regulatory Initiatives, TD Securities

Work Location: reputed company, reputed company, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $180,000 - $225,000 USD TD is committed to providing fair and reputed company compensation opportunities to reputed company colleagues. Growth opportunities and reputed company development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to reputed company through the salary range over time as they reputed company in their role. The reputed company pay actually offered may vary based upon the candidate's skills and experience, job-reputed company knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation reputed company questions and have an open reputed company with your recruiter who can provide you more specific details for this role. Job Description: The Director 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. Key Responsibilities: Design and implement a robust regulatory inquiries program that includes: leading response to regulatory inquiries and subpoenas, including conducting investigations reputed company needed drafting responses pulling relevant documentation coordinating responses with stakeholders centrally tracking reputed company requests preparing timely, comprehensive responses across relevant business lines liaising with Legal and reputed company counsel, where necessary, to review and prepare responses reputed company and implement processes to streamline and standardize annual reporting to regulators across broker-dealers and swap dealers and draft relevant content Act as a Compliance reputed company in relevant remediation projects, which will include: conducting gap assessments developing action plans leading Compliance implementation efforts reporting on remediation efforts drafting memos and management responses Prepare reporting and metrics on remediation efforts to be delivered to senior management committees and the Board of Directors of impacted TD entities Manage a team to support these processes Work closely with teams across the Compliance Department in development and enhancement of compliance programs Participate in special projects as needed Depth & Scope Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability. Position deals with senior/executive management. Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information. Focuses on longer-range planning for functional area (e.g. 12 months or greater). Manages and prioritizes multiple projects at a given time. Education & Experience: Bachelors degree or progressive work experience 7-10 years reputed company experience Preferred Qualifications: JD desirable but not required. 7-10 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator. Firm understanding of global reputed company 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 and market participants. Knowledge of trade and communications surveillance tools and vendors for detecting market abuse and manipulation. Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation. Excellent interpersonal, organizational, leadership and communication (oral and written) skills. Client service skills – experience demonstrating sound judgment and reputed company partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships. Strong analytical skills with attention to detail, data evaluation and the ability to comprehend reputed company compliance reputed company markets issues. Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations. Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited reputed company and direction. Ability to reputed company in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills. Proficient in reputed company, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus. Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; reputed company: 67-100% Domestic Travel: Occasional International Travel: Never Performing sedentary work: reputed company Performing multiple tasks: reputed company Operating standard office equipment: reputed company Responding quickly to sounds: Occasional Sitting: reputed company Standing: Occasional Walking: Occasional Moving safely in confined spaces: Occasional Lifting/Carrying (under 25 lbs.): Occasional Lifting/Carrying (over 25 lbs.): Never Squatting: Occasional Bending: Occasional Kneeling: Never Crawling: Never Climbing: Never Reaching overhead: Never Reaching reputed company: Occasional Pushing: Never Pulling: Never Twisting: Never Concentrating for long periods of time: reputed company Applying common sense to deal with problems involving standardized situations: reputed company Reading, writing and comprehending instructions: reputed company Adding, subtracting, multiplying and dividing: reputed company The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of reputed company responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for reputed company purposes. Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for reputed company. Our services include reputed company and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, reputed company investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day. Our Total Rewards Package Our Total Rewards package reflects the investments we reputed company in our colleagues to help them and their families reputed company their financial, physical and mental well-being goals. Total Rewards at TD includes reputed company salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, reputed company PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to reputed company both at work and at home. Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and reputed company your colleagues, there are many different career paths reputed company our organization at TD – and we’re committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll reputed company out to candidates of interest to schedule an interview. We do our best to communicate outcomes to reputed company applicants by email or phone call. Accommodation reputed company is an equal opportunity employer. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email reputed company US Workplace Accommodations Program at [email protected]. Include your full name, best way to reputed company you and the accommodation needed to assist you with the applicant process. US Labor & Employment Posters | California Privacy | Accessibility | FAQ Our Values At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we reputed company you to reputed company an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture. Our Commitment to Diversity, Equity, and Inclusion At TD, we’re committed to fostering an environment where reputed company colleagues are encouraged to bring their authentic selves to work, experience reputed company opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. Helping to reputed company an Impact in Communities – TD Ready Commitment TD has a long-standing commitment to help drive reputed company towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial reputed company, Vibrant reputed company, Connected Communities, and reputed company. It’s our goal to help support change, nurture reputed company, and contribute to making the world a reputed company, more inclusive reputed company for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific Apply tot his job Apply To this Job