Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$150,000 - $250,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

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:

• Equity Aggregation: Oversee the TDS Equity Aggregation portfolio within the Global Control Room. Review and update procedures and work with key stakeholders across the different TD Bank entities and systems to assure TDS positions are reported on time.

• Reporting: With the Global Head and key stakeholders: assist with leading oversight /governance committees for the Global Control Room; track and report on the status of remediation and modernization initiatives across the various GCR portfolios; and enhance and streamline the current reporting across regional committees and boards (e.g., employee trading metrics, operational issues, and related reporting). Provide the leadership team with relevant Management Information, reporting, and support to ensure Global Control Room operational issues (e.g., vendor issues and Global Control Room outages) are appropriately managed, addressed, tracked, and reported on in governance.

• Global Control Room Portfolio Management: Work with the Head of Global Control Room, DDI, technology and key stakeholders (e.g., Communications Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements.

• Issues Management: Track and manage Regulatory and Audit Findings related to Global Control Room to ensure that such findings are properly and timely addressed (i.e., oversee progress of all internal and/or external audit issues relating to Global Control Room with key stakeholders).

• Quality Assurances: Enhance the existing QA process across the GCR in order to identify themes and emerging risks, process and escalation enhancement. Timely reporting on findings and/or recommendations for enhancements, to the Global Head of Global Control Room and Compliance senior management.

• Global Control Room Portfolio Management: Work with the Head of Global Control Room, DDI, technology and key stakeholders (e.g., Communications Global Control Room Leads, Trade Global Control Room Leads, and Chief Compliance Officers globally) to develop clear deliverables, milestone, and project plans for remediation initiatives, new Global Control Room deployments, and Global Control Room enhancements.

• Global Control Room Procedures: Work with Global Control Room leads, to ensure that departmental Global Control Room procedures are updated timely and accurately.

• Regulatory Responses and Internal Audits: Work with key stakeholders with Global Control Room and Compliance broadly to respond to regulatory inquires and internal audit requests, including, requests for data, and exam inquiries as they relate to Global Control Room.

• Briefings and Presentations: Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Global Control Room to senior governance and Boards. As needed, report in senior governance on the Global Control Room program.

• Program Enhancements: Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Global Control Room function.

• Training: Work with the GCR Head and leads to develop appropriate training across all portfolios with the GCR.

• Tone at the Top: Work with the Global Control Room and Compliance leadership Team to set the Compliance culture, people development, and training.

• Talent: Attract, retain and develop a high performing team focused on implementing the above responsibilities

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 or MBA preferred

• 10+ years of relevant industry and management experience in Compliance and Global Control Room

• Experience managing complex regulatory remediation.

• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the Global Control Room, change management, project management and operations.

• People leadership and management experience focused on talent development and coaching to nurture a high performing team

• Highest personal and professional integrity and standards to advance TD's vision and protect the brand

• Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills

• Ability to work in a fast-paced environment and manage multiple priorities

• Ability to operate in an evolving, sometimes ambiguous, matrixed environment.

• Strategic thinker and excellent judgement;

• Demonstrates ability delivering on project and departmental issues.

• Demonstrated ability to identify regulatory risks and issues, and to propose practical solutions to mitigate risk, as it relates to compliance Global Control Room.

• Demonstrated ability to work across teams globally and to build effective working relationships across diverse stakeholder.

• Transparent communicator and respected TD representative, both internally and externally.

• Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams.

• Advances TD's leadership development, colleague experience and diversity initiatives,

• Possesses an advanced level of financial and strategic acumen to provide insight on

• strategy development and execute effectively on a broad range of key business management activities

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.

Who We Are

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. With 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. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.