Director, Compliance Regulatory Initiatives - Policies & Procedures - TD Securities (US)

Director - Compliance

This Director - Compliance role will be a key member of the TDS US Compliance 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. This Director role will focus on driving compliance-owned remediation initiatives and supporting the strategic establishment of centralized functions.

Compliance Regulatory Initiatives Policies & Procedures:

• Responsible for drafting and maintaining comprehensive suite of regulatory Compliance policies and procedures
• Establish governance and reporting for policy and procedure review and approval
• Design and maintain policy and procedure portal
• Communicate policy and procedure updates to impacted stakeholders, including new hires
• Active participation in ongoing remediation efforts in particular with respect to policy, procedure and training related deliverables
• Review and/or develop relevant training materials
• Participate in regulatory change management and business-related processes to ensure policy and procedures are kept current
• 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 where strong drafting skills are required

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 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

Education & Experience:

• Bachelor's degree
• Excellent oral and written communication skills
• At least 7-10 years of directly related Compliance experience

Preferred Qualifications:

• Experience with a registered US broker dealer, regulator, or global financial organization.
• JD preferred but not required
• 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, and leadership 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 on teams of varying size.
• A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
• Proficient in Word, Excel and PowerPoint

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.

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 related experience

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel: Occasional
• International Travel: Never
• Performing sedentary work: Continuous
• Performing multiple tasks: Continuous
• Operating standard office equipment: Continuous
• Responding quickly to sounds: Occasional
• Sitting: Continuous
• 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 forward: Occasional
• Pushing: Never
• Pulling: Never
• Twisting: Never
• Concentrating for long periods of time: Continuous
• Applying common sense to deal with problems involving standardized situations: Continuous
• Reading, writing and comprehending instructions: Continuous
• Adding, subtracting, multiplying and dividing: Continuous

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 all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.