Director, Compliance – Regulatory Initiatives
TD
VP, Compliance – Regulatory Initiatives – Policies and Procedures
TD
full-time
Posted on:
Origin: • 🇺🇸 United States • New York
Visit company websiteSalary
💰 $140,000 - $180,000 per year
Job Level
Lead
About the role
- Oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements
- Assist in drafting and maintaining comprehensive suite of regulatory Compliance policies and procedures
- Coordinate with stakeholders and subject matter experts on policy and procedure development
- Assist in establishing governance and reporting for policy and procedure review and approval
- Support the development and deployment of enhanced policy and procedure portal and maintain it
- Communicate policy and procedure updates to impacted stakeholders, including new hires
- Active participation in ongoing remediation efforts, particularly policy and procedure related deliverables
- Participate in regulatory change management and business-related processes to ensure materials are kept current
- Assist in responding to internal and external audit requests
- Prepare summaries, presentations, briefing notes, and other documentation to report on status to senior management, relevant boards and external stakeholders
- Participate in special projects as needed
- Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
- 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 reviews including inquiries, audits, and exams
Requirements
- Bachelors degree or progressive work experience
- 5-7 Years of related experience
- JD desirable but not required
- 5-7 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
- 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 partnership with senior managers and stakeholders globally
- Strong analytical skills with attention to detail, data evaluation and ability to comprehend complex compliance issues
- 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
