Vice President, Compliance Regulatory Initiatives - Training - TD Securities (US)

VP Compliance

This VP Compliance role will be a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within U.S. Wholesale Compliance focused on remediation and program development and improvement within TDS.

Compliance Regulatory Initiatives - Training

• Responsible for designing and implementing a robust Compliance training program, including :
• Conducting periodic risk-based needs analysis for in-scope business lines
• Developing and maintaining annual training plan and tracking plan to completion
• Working with subject matter experts to develop training content
• Deploying online training modules and supporting delivering of in-person trainings
• Developing methods to measure training effectiveness over time
• Tracking training completion and developing escalation processes for non-completion
• Active participation in ongoing remediation efforts in particular with respect to training related deliverables
• Track and oversee progress of applicable internal and external audit issues relating to TDS US Compliance
• Support regulatory challenge frameworks to support completion of regulatory deliverables
• Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Compliance regulatory initiatives to senior management, relevant boards and external stakeholders.
• Support development of centralized functions within U.S. Wholesale Compliance including policies, training and inquiries
• Participate in special projects as needed

Depth & Scope :

Education & Experience :

Preferred Qualifications :

General Job Description :

The VP 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.

Depth & Scope :

Education & Experience :

Physical Requirements :

Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100%

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.