Director, Compliance - Testing Team Lead, TD Securities

Director Compliance Testing Team Lead

TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. This Director Compliance Testing Team Lead role is a newly created role on the Core Compliance team which will require testing execution as well as manage a team of Compliance Testers as part of the wider Monitoring and Testing Team.

The Director Compliance Testing Team Lead 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.

Key Responsibilities :

• Assist in the development, design, and execution of the annual Compliance Test Plan.
• Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing Leads to ensure timely completion of testing engagements in support of the annual Compliance Test Plan.
• Manage team of 3-4 testers.
• Lead the design and execution of testing engagements.
• Review all workpapers and manage testing progress for each test executed by you and your team.
• Recruit and develop talented testing professionals to support the program.
• Liaise and build a strong relationship with key stakeholders across the Firm.
• Engage and drive discussion with stakeholders to exercise credible challenge.
• Communicate and agree to the acceptance of issues and assist in the development of the appropriate action plans.
• Oversee remediation of issues identified in the Testing or Monitoring activities.
• Work closely with the Key Stakeholders to ensure timely closure of issues identified during testing.
• Identify areas for enhanced Monitoring and Testing.
• Work with our Data team to ensure we have the appropriate metrics and reporting for testing activities throughout our testing cycle.
• Participate in special projects as they arise to enhance Compliance functions.

Depth & Scope :

Education & Experience :

Preferred Qualifications :

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.

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.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD and we're committed to helping you identify opportunities that support your goals. 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.