VP, Regulatory Change

TD Bank; Greater London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading financial institution is seeking a detail-oriented professional to support Regulatory Change initiatives in London. This role involves creating reporting procedures and ensuring compliance with regulations post-application approval. Ideal candidates will possess extensive regulatory experience, analytical skills, and strong communication abilities. The position includes fostering relationships with stakeholders and managing operational risks effectively. Full-time commitment is required, with opportunities to contribute significantly to the organization's compliance efforts.

Qualifications

• Seasoned experience in the regulatory space within banking.
• High quality analytical skills to resolve issues.
• Experience with Suade regulatory reporting application desired.

Responsibilities

• Support Directors of Regulatory Change during the application phase.
• Create operational procedures for reporting and compliance.
• Maintain good relationships with key stakeholders.

Skills

Regulatory experience

Analytical skills

Communication skills

Relationship management

Organizational skills

Technical knowledge of banking products

Tools

Alteryx

Power BI

Python

Advanced Excel

Job description

Work Location : London, United Kingdom

Hours : 35

Line of Business : Finance

Pay Details : We are committed to providing fair and equitable compensation to all our colleagues. As a candidate we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions including pay details for this role.

Position Summary : (Overview of key purpose and accountability of the role) This position will support the Directors of Regulatory Change during the application phase to transition TDGF from a MIFID Investment Firm to a Credit Institution regarding both the application itself and the architectural vision post application to enable accurate and timely production of a widely enhanced suite of Prudential Regulatory reporting requirements in a suitably controlled environment. The requirement is to create reporting solutions for the large uplift in the reporting suite including but not limited to Statistical Reporting Pillar 3 Resolution Reporting Anacredit and Full FINREP. It will also cover the extension to the current reporting suite regarding new products that will become permissible under a Credit Institution license. The role will include working alongside the Regulatory Reporting BAU team to create operational procedures to transition from a build phase to the live environment post final application approval from the Regulator.

Specific Responsibilities

• Seasoned experience in the regulatory space within the banking world ideally within wholesale banking.
• Proven ability to understand and interpret regulatory rules and reporting guidance.
• Detailed technical knowledge of banking products.
• High quality analytical skills with an inquisitive mindset to identify and swiftly resolve issues.
• Experienced in creating reporting processes and procedures in a highly controlled environment.
• Excellent communication and presentation skills.
• The development and maintenance of good relationships with key stakeholders and the ability to make effective recommendations.
• Proven organizational and multi-tasking skills to be able to juggle competing priorities.
• Experience with Suade regulatory reporting application desirable.
• Familiarity with analytical tools such as Alteryx Power BI Python or advanced Excel skill preferred.

Risk Management Responsibilities

• Responsible for identifying and reporting operational risk events in accordance with policy.
• Responsible along with all colleagues to contribute in a positive way to TDGFs reputation and the management of reputational risk. Every employee is expected and required to follow ethical practices at all times including compliance with applicable policies legislation and regulations and support positive interactions with TDGFs stakeholders including clients industry bodies industry participants public bodies regulators and vendors.
• Responsible for good conduct and for contributing to the identification and management of conduct risk within their team and function.

TD Policy Requirements

It is your responsibility to demonstrate that you are fully aware of and adhere to internal TD Policies that relate to you your business or other businesses for which you have any level of responsibility.

It is your responsibility to read understand and comply with TDs Code of Conduct and Ethics (Code) and corresponding regulations. The Code establishes the standards that govern the way we deal with each other our customers shareholders governments regulators suppliers competitors the media and the public at large. You will be notified of changes to policies in a timely manner through announcements and / or intranet updates.

You must act with integrity and due skill care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of scrutiny.

Management should be kept fully informed at all times of all regulatory and compliance issues. You must deal with TD Management Compliance regulators and all control functions in an open and cooperative way and must disclose appropriately any information which TD Management Compliance regulators or control functions would reasonably expect to know.

You must ensure that you are fully aware of your management reporting lines and escalation procedures.

If you are a manager / supervisor you are also responsible for ongoing and effective supervision of the employees under your direction and ensure their adherence to regulatory requirements. You will promptly report to TD Management and compliance any violation or possible violation of such regulatory requirements identified as part of your supervisory responsibilities.

You must take reasonable steps to demonstrate that you exercise due skill care and diligence in managing and / or delegating your responsibilities outlined appropriately.

It is your responsibility to be fully aware of :

• The scope of your management responsibilities.
• The TD policies and regulatory requirements pertaining to the business / activities you are managing.
• The competence level of the staff if any reporting to you.
• The control limits and your ability if any to delegate them within your business.
• Demonstrate that you receive adequate and appropriate management reporting.

Key Skills

• Business Development
• Eclipse
• Economics
• Accounting
• Corporate Risk Management
• Brokerage

Required Experience

Exec

Employment Type

Full-Time

Experience

years

Vacancy

1