Director - Compliance TD Securities - Military Veterans

Profile

u003cbu003eTD Descriptionu003c/bu003eu003cbru003eu003cbru003e 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.u003cbru003eu003cbru003eWith more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting 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, diversified investment bank.u003cbru003eu003cbru003eWe are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.u003cbru003eu003cbru003eu003cbu003eJob Descriptionu003c/bu003eu003cbru003eu003cbru003e TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. TD is also in the process of completing two major acquisitions that will require integration of new business segments into its Compliance coverage model. This Director - Regulatory Compliance Management role is a newly created role on the Core Compliance team to oversee and manage the implementation of key programs that support the RCM and assist with the integration of the newly acquired businesses and expansion of the Core Compliance program. u003cbru003eu003cbru003eRegulatory Compliance Management (RCM) and Issues Managementu003cbru003e• Support the establishment of RCM program for TDS US Compliance in accordance with the enterprise RCM frameworku003cbru003e• Provide support for integration of newly acquired businesses into TD's Compliance frameworku003cbru003e• Support the expansion of Core Compliance programs to cover newly acquired businessesu003cbru003e• Develop consistent issues management framework for TDS US Complianceu003cbru003e• Implement and oversee issues management program and appropriate tracking/reporting of issuesu003cbru003e• Facilitate self-reporting of issues and analysis of observations/recommendations and whether they should be trackedu003cbru003e• Develop and retain top talent to support the RCM and Complianceu003cbru003eu003cbru003eCompliance Monitoring and Testingu003cbru003e• Develop annual testing plans and conduct Compliance Monitoring and Testing and Branch Inspectionsu003cbru003e• Liaise with other enterprise functions that conduct testing for continuity and alignmentu003cbru003e• Conduct complex testing engagements and help develop testing for newly acquired business areasu003cbru003e• Help build out branch inspection program post-acquisitionu003cbru003e• Provide metrics and reporting for testing activitiesu003cbru003eu003cbru003eMERLIN technology solutionu003cbru003e• Centralize/oversee the application of the firm's in-house system, Merlin, to TDS US Compliance activities. The Merlin system is being designed to support risk assessments, issues management, rules inventory, regulatory change, control mapping and monitoring and testingu003cbru003e• Provide review and challenge for rules inventory and control mapping in Merlinu003cbru003e• Liaise with Markets Compliance in Risk Assessment process and help connect process to rules inventory, control mapping and Mu0026amp;T in Merlinu003cbru003eu003cbru003eu003cbu003eJob Requirementsu003c/bu003eu003cbru003eu003cbru003e • BA/BS, or a similar degree, requiredu003cbru003e• 10 or more years of experience with a registered US broker dealer or regulatoru003cbru003e• JD desirable but not requiredu003cbru003e• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting themu003cbru003e• Excellent interpersonal, organizational, leadership and communication (oral and written) skillsu003cbru003e• 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 u003cbru003e• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issuesu003cbru003e• Project management skills and ability to manage multiple work streams involving different partners and groupsu003cbru003e• 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 timeu003cbru003e• Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying sizeu003cbru003e• A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firmu003cbru003e• Proficient in Word, Excel and PowerPointu003cbru003eu003cbru003eu003cbu003eInclusivenessu003c/bu003eu003cbru003eu003cbru003e At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.u003cbru003eu003cbru003eIf you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at **** . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.u003cbru003eu003cbru003eEOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

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