AVP, Regulatory Issues Management, Governance and Control, TD Securities (US)

TD; New York (NY); Presencial; USD 200 000 - 280 000; Tempo integral

Resumo da oferta

TD Securities in New York is seeking a senior leader to oversee the global framework for governance, oversight, and reporting of audit, regulatory, and control-related issues. This role partners with Risk, Compliance, Legal, Internal Audit, Technology, and Operations to ensure timely remediation and credible management reporting.

The ideal candidate has 15+ years in financial services, with deep experience in audit lifecycle, regulatory remediation, and enterprise-wide governance.

Qualificações

• 15+ years of progressively senior experience in financial services.
• Significant experience in audit, regulatory remediation, issue management, governance, or first-line risk roles.
• Proven track record designing or leading enterprise-wide issue management, remediation governance, or regulatory oversight frameworks.
• Deep understanding of the audit lifecycle, regulatory examinations, and remediation.
• Experience engaging with senior executives, regulators, Internal Audit, Compliance, Legal, Risk and business leadership.

Responsabilidades

• Lead global first-line function for governance, oversight, reporting, and escalation of audit, regulatory, self-identified, and control-related issues across TD Securities.
• Establish and maintain global standards for issue identification, ownership, remediation planning, and closure.
• Provide executive-ready reporting and insights for senior management, governance committees, and regulators.
• Collaborate with Risk, Compliance, Legal, Internal Audit, Technology, Operations, and regional leadership to drive timely remediation.
• Coordinate cross-regional alignment with Americas, Europe, and APAC.

Conhecimentos

Leadership

Governance

Stakeholder management

Risk management

Regulatory oversight

Executive communication

Formação académica

Undergraduate degree

Advanced degree in Business/Finance/Law/Risk/Accounting/Economics

Descrição da oferta de emprego

Work Location

New York, New York, United States of America

Hours

40

Line Of Business

Governance & Control

Pay Detail

$200,000 - $280,000 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

This role is responsible for leading the global framework, governance, oversight, and reporting of audit, regulatory, and control-related issues across TDS. The role provides enterprise-wide leadership to ensure issues are identified, classified, owned, remediated, escalated, and closed in a timely, transparent, and sustainable manner. Acting as a senior first-line control leader, the role partners closely with business heads, Risk, Compliance, Legal, Internal Audit, Technology, Operations, regional leadership, and regulatory management teams to strengthen remediation discipline, improve issue data quality, prevent repeat findings, and support credible regulatory and senior management reporting. The role has significant visibility with senior executives, governance committees, Board-level forums, and regulators, and is accountable for driving a consistent global approach that reinforces accountability, operational resilience, and a strong risk and control culture.

Depth & Scope

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
• Leads a global first-line function responsible for the governance, oversight, reporting, and escalation of audit, regulatory, self-identified, and control-related issues across TDS
• Establishes and maintains consistent global standards for issue identification, classification, ownership, remediation planning, milestone tracking, evidence quality, validation readiness, escalation, and sustainable closure
• Operates across multiple businesses, regions, legal entities, and regulatory jurisdictions, including close alignment with regional governance teams in the Americas, Europe, and APAC
• Provides senior-level oversight and credible challenge over high-risk, overdue, regulator-sensitive, repeat, systemic, and Board-visible issues
• Influences business heads, regional leadership, Internal Audit, Compliance, Operational Risk, Legal, Technology, Operations, Regulatory Management, and enterprise risk partners to drive timely and sustainable remediation
• Maintains a consolidated global view of issue inventory, remediation status, aging, root causes, repeat findings, data quality, and emerging control themes
• Develops executive-ready reporting and insights for senior management, governance committees, Board-level forums, and regulators
• Supports regulatory transparency by coordinating consistent issue management messaging, evidence packages, remediation updates, and closure readiness across jurisdictions

Education & Experience

• Undergraduate degree required; advanced degree in Business, Finance, Law, Risk Management, Accounting, Economics, or a related discipline preferred
• 15+ years of progressively senior experience in financial services, preferably within a global investment bank, capital markets business, or large regulated financial institution
• Significant experience in audit, regulatory remediation, issue management, operational risk, compliance, internal controls, governance, or first-line risk and control roles
• Proven track record designing, implementing, or leading enterprise-wide issue management, remediation governance, audit response, or regulatory oversight frameworks
• Deep understanding of the audit lifecycle, regulatory examination process, control remediation, root cause analysis, evidence standards, validation readiness, and sustainable closure expectations
• Experience engaging directly with senior executives, Board-level committees, regulators, Internal Audit, Compliance, Risk, Legal, Technology, Operations, and business leadership
• Demonstrated ability to operate across global businesses, regions, legal entities, and regulatory jurisdictions, with strong awareness of local regulatory expectations and enterprise standards

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 strive to make every interaction, product and experience remarkably human and refreshingly simple. 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.

Together, we are reimagining what banking can be for our clients, colleagues and communities.

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 [e-mail]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.