Director, Compliance - Regulatory Initiatives, TD Securities

Director Compliance Tds

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 when needed
• Drafting responses
• Pulling relevant documentation
• Coordinating responses with stakeholders
• Centrally tracking all requests
• Preparing timely, comprehensive responses across relevant business lines
• Liaising with Legal and outside counsel, where necessary, to review and prepare responses
• Develop 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 lead 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 related 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 security 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 close 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 complex compliance related 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 oversight and direction.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills.
• Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus.

Physical Requirements:

• 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