Vice President, Compliance - Regulatory Exam Management - TD Securities (US)

TD Bank; New York (NY); On-site; USD 150,000 - 185,000; Full time

Job summary

Une institution financière à New York recherche un VP pour rejoindre l'équipe de gestion des examens réglementaires. Le candidat devra gérer les examens réglementaires, fournir des mises à jour à la direction et développer des relations avec les régulateurs. Avec un minimum de 7 ans d'expérience en conformité et d'excellentes compétences analytiques, le candidat idéal devra faire preuve de leadership et d'habileté en communication. Le salaire est compris entre 150 000 et 185 000 USD par an.

Qualifications

• 7 ans ou plus d'expérience en conformité ou de valeurs mobilières.
• Excellentes compétences en communication orale et écrite.
• Capacité à établir des relations efficaces avec les régulateurs.

Responsibilities

• Gérer les examens réglementaires et préparer les personnel.
• Fournir des mises à jour régulières à la direction.
• Préparer des réponses écrites aux demandes réglementaires.

Skills

Connaissance de la conformité en valeurs mobilières

Compétences en gestion de projet

Excellentes compétences interpersonnelles

Compétences analytiques

Capacité à travailler sous pression

Education

Licence ou expérience professionnelle progressive

Tools

Word

Excel

PowerPoint

Job description

Nous et certains tiers sélectionnés utilisons des technologies et des outils de suivi (témoins) pour recueillir des renseignements sur votre utilisation de ce site Web. Les témoins essentiels soutiennent les fonctionnalités de base du site, la sécurité et la protection des renseignements personnels. Ils restent activés à moins que vous les désactiviez dans les paramètres de votre navigateur. Si vous choisissez de désactiver les témoins essentiels, certaines fonctionnalités du site Web pourraient ne pas fonctionner comme prévu, ce qui pourrait nuire à votre expérience. Les témoins non essentiels recueillent certains renseignements sur votre utilisation de notre site Web, qui fournissent des données supplémentaires et peuvent également être utilisés par des tiers à leurs propres fins et conformément à leurs politiques en matière de protection des renseignements personnels et de témoins. Les témoins non essentiels demeurent désactivés, à moins que vous choisissiez de les accepter. Pour obtenir de plus amples renseignements, consultez notre **.****Work Location**:New York, New York, États-Unis d'Amérique**Hours:**40**Line of Business:**Conformité**Pay Detail:**$150,000 - $185,000 USDTD 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:**Our TD Securities Compliance department is looking to hire a VP to join the Regulatory Exam Management team in our New York City office (US headquarters).**Job Overview:*** Manage regulatory examinations covering wholesale businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with regulators.* Support TD's ongoing supervision program running recurring and ad hoc meetings with the Firm's prudential and securities regulators and handle deep dive meeting requests.* Provide regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.* Analyze and summarize information/documentation responsive to regulatory requests.* Communicate extensively (orally and in writing) and develop effective relationships with regulators and communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings.* Prepare substantive written responses to regulatory requests and examination reports and work with the relevant businesses and functions to obtain information/documentation to respond to regulatory requests.* Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements.* Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.* Execute issues management process for tracking regulatory findings.* Assist in the ongoing development of core compliance processes as needed.* Participate in enterprise-wide special projects as needed.**Depth & Scope:*** Manages regulatory reviews including inquiries, audits, and exams.* Works independently and is accountable for managing a specialized area, business or function.* Subject matter expert for a functional area.* Key contact for business management, regulators, and external/internal auditors, dealing with routine and non-routine information.* Focuses on short to mid-range planning (e.g. 6-12 months).**Preferred Qualifications:*** 7 or more years of securities compliance or related securities experience required.* JD desirable but not required.* Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.* Excellent interpersonal, organizational, leadership and communication (oral and written) skills.* Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.* Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.* Project management skills and ability to manage multiple work streams involving different partners and groups.**Education & Experience:*** Bachelor's degree or progressive work experience* At least 5-7 Years of related experience* Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.* Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.* A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.* Proficient in Word, Excel and PowerPoint**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 – ContinuousThe 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