TD

Director, Compliance – Regulatory Initiatives

TD

full-time

Posted on:

Origin:  • 🇺🇸 United States • New York

Visit company website
✨ AI Apply
Manual Apply

Salary

💰 $180,000 - $225,000 per year

Job Level

Lead

About the role

  • Design and implement a robust regulatory inquiries program including leading response to regulatory inquiries and subpoenas, 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
  • 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 remediation projects: 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 for senior management committees and 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

Requirements

  • Bachelors degree or progressive work experience
  • 7-10 years related experience
  • 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, and market abuse behavior surveillance and regulatory expectations
  • Knowledge of trade and communications surveillance tools and vendors
  • Advanced understanding of testing or audit concepts and principles and control analysis and evaluation
  • Excellent interpersonal, organizational, leadership and communication (oral and written) skills
  • Client service skills and experience partnering with senior managers and stakeholders globally
  • Strong analytical skills with attention to detail and data evaluation
  • Self-starter with ability to learn new business areas and regulatory requirements
  • Advanced project management skills and ability to manage multiple work streams
  • Proficient in Excel, Word, PowerPoint and SharePoint
  • Knowledge of markets surveillance systems and applications a plus