AVP Compliance, TDS
The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed.
The AVP Compliance, TDS effectively leads core compliance programs - including Registrations, Regulatory Exam Management and Monitoring and Testing - throughout the U.S. wholesale footprint. Reporting to the VP, TD Securities US this role is pivotal in maintaining the US TD Securities' compliance framework, ensuring that it is robust, adaptive, and aligned with global regulatory expectations. Specifically, this role will lead the U.S. Global Markets Compliance Advisory team providing coverage to U.S. Fixed Income, Equity, Prime Brokerage, Derivative, FX and Commodities business lines and supporting functions. The ideal candidate will possess a strong compliance acumen, leadership qualities, and the ability to drive strategic initiatives in a complex regulatory environment.
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
- Effectively lead core compliance programs throughout the US wholesale footprint
- Manages TD Securities regulatory relationships, including the Federal Reserve Board (FRB). Office of Comptroller and Currency (OCC), FINRA, and CFTC
- Coordinates with U.S. and Canadian Compliance Governance and Assurance teams to manage and operationalize compliance processes
- Manages and coordinates regulatory exams for TD Securities, the NY Branch and Prime Services
- Develops and implements U.S. Wholesale testing and monitoring plan
- Implements global compliance operating framework (GCOF) for TDS U.S.
- Coordinates development and monitoring of U.S. testing plan with global counterparts
- Manages wholesale regulatory risk by establishing sound and effective processes addressing regulatory requirements.
- Ensures core regulatory requirements are satisfied by managing policies and procedures and creating requisite infrastructure
- Attracts and develops key compliance talent
- Effectively communicates and partners with stakeholders from the business and other Support & Control functions to advance compliance priorities
Key Responsibilities :
Leadership and Strategy : Develop and implement the compliance strategy for U.S. Markets, ensuring alignment with the company's overall compliance framework and regulatory requirements.Regulatory Compliance : Oversee the identification, assessment, and management of compliance risks related to U.S. Markets. Ensure adherence to all relevant laws, regulations, and industry standardsPolicy Development : Create, update, and enforce compliance policies and procedures. Ensure that these policies are effectively communicated and understood across the organization.Monitoring and Reporting : Establish and maintain robust monitoring and reporting systems to track compliance activities and identify potential issues. Provide regular updates to senior management and regulatory bodies as required.Training and Awareness : Develop and deliver compliance training programs to ensure that all employees are aware of their responsibilities and the importance of compliance. Foster a culture of compliance within the organization.Risk Management : Collaborate with other departments to identify and mitigate compliance risks. Conduct regular risk assessments and implement appropriate controls to address identified risks.Investigations and Remediation : Lead investigations into compliance breaches and oversee the implementation of corrective actions. Ensure that any issues are resolved promptly and effectively.Stakeholder Engagement : Build and maintain strong relationships with key stakeholders, including regulators, industry bodies, and internal teams. Represent the company in compliance-related discussions and negotiations.Continuous Improvement : Stay abreast of regulatory changes and industry best practices. Continuously improve the compliance program to ensure it remains effective and up-to-date.Leadership : Work with the Compliance Leadership Team to set the Compliance culture, people development, and training.Development : Attract, retain and develop a high performing team focused on implementing the above responsibilities.Education & Experience :
Graduate or Bachelor's degree or progressive work experience10+ years related experienceStrong ability to maintain deadlines in instances of competing prioritiesExcellent judgment in risk managementEffective communicator who strives for personal growthProactive, result driven and focusedSignificant experience in providing legal, regulatory or compliance advice to Global Markets Businesses including Equity, Fixed Income, Prime Brokerage, Derivatives, FX and Commodities and supporting functions.Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, SEC, CFTC, FINRA, NFA, FED and OCC.Strategy development and execute effectively on a broad range of key business management activitiesExcellent oral and written communication skills.Ability to make, support and defend difficult and complex regulatory / compliance decisions in a fast-paced and high pressured environment.Ability to project confidence and professionalism in dealings with senior business personnel.Strong knowledge of technology infrastructure and global booking modelsAbility to work on multiple projects in a fast paced environmentAbility to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally;Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operationsPeople leadership and management experience focused on talent development and coaching to nurture a high performing teamHighest personal and professional integrity and standards to advance TD's vision and protect the brandStrong verbal and written communication skills, including public speaking / presentation skills and well developed listening and negotiation skillsAbility to work in a fast-paced environment and manage multiple prioritiesAbility to operate in an evolving, sometimes ambiguous, matrixed environment.Strategic thinker; has excellent judgment, achieves the right risk / reward balanceDemonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationshipsTransparent communicator and respected TD representative, both internally and externallyModels TD's executive leadership profile : skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teamsAdvances TD's leadership development, colleague experience & diversity agendaPossesses an advanced level of financial and strategic acumen to provide insight onEmployee / Team Accountabilities :
Effective escalation points and strong ability to implement large scale initiatives.Ability to partner with many parts of the organization given many responsibilities.Effective manager looked to as a mentor.Ability to manage workloads appropriately among staff.Key Shared Accountabilities :
Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise.With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practicesWith Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.Keeps current on emerging risks, trends and evolving regulatory requirements for ComplianceBuilds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.Attracts, develops, retains talent, and maintains an active talent pipeline.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
