VP, Compliance Monitoring & Testing Leader

TD; New York (NY); On-site; USD 150,000 - 180,000; Full time

Job summary

TD Securities (US) seeks a Vice President, Compliance to lead the Compliance Monitoring and Testing Team within Core Compliance. This role oversees testing plans, drives remediation efforts, and partners with regulators and business units to manage regulatory risk.

The VP will design metrics, manage scarce resources, and ensure timely reporting to senior management, while coordinating with global testing teams and regional colleagues.

Qualifications

• 7+ years of experience with a registered US broker dealer, regulator, or global financial organization.
• Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution.
• Firm understanding of securities and derivatives 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 - ability to partner with senior and line managers on regulatory interactions.
• Strong analytical skills, attention to detail, solid judgment, and ability to evaluate complex regulatory issues.
• Advanced project management skills and ability to manage multiple work streams with limited oversight.

Responsibilities

• Develop and design annual and cycle-based Compliance Testing and Monitoring plans.
• Execute the annual Compliance Testing plan.
• Prepare reports for management that highlight scope, approach, and findings.
• Oversee remediation of gaps identified in Testing or Monitoring activities.
• Build relationships with stakeholders globally and serve as key contact for test deliverables.

Skills

Regulatory knowledge

Leadership

Project management

Communication skills

Analytical skills

Interpersonal skills

Stakeholder management

Education

Bachelor's degree or progressive work experience

JD degree desirable

Tools

Word

Excel

PowerPoint

Job description

TD Securities (US) seeks a Vice President, Compliance to lead the Compliance Monitoring and Testing Team within Core Compliance. This role oversees testing plans, drives remediation efforts, and partners with regulators and business units to manage regulatory risk.

The VP will design metrics, manage scarce resources, and ensure timely reporting to senior management, while coordinating with global testing teams and regional colleagues.