VP Compliance, US Core Control Room (San Francisco or NYC) - TD Securities

Work Location:

Hours:

Line of Business:

Pay Detail:

TD 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 candidates 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:

We are seeking a VP Compliance professional to join our TD Securities US Control Room located in San Francisco California.

Responsibilities Include:

• Maintain the TD Securities Grey and Restricted lists.
• Chaperone interactions and communications between Research and Investment Banking.
• Review and approve US and Canadian equity Research with an understanding of US and Canadian Research rules.
• Daily engagement with Research and Investment Banking to provide advice and guidance to business partners conduct deal updates answer and respond to conflicts clearance requests and work through questions from the global Control Room inbox.
• Review and escalate conflict checks for the Investment Bank.
• Participate in regulatory exams and work with internal auditors.
• Participate in different Control Room projects with Technology and project management teams.
• Work closely with Control Room partners in the Toronto Singapore and London Control Room.
• Work closely with Compliance Advisory and Legal as needed.

Job Requirements and Qualifications:

• Bachelors degree and 7 years relevant experience.
• Previous experience with reviewing Research against Investment Banking transactions.
• A working knowledge of applicable FINRA rules SEC rules and relevant industry standards.
• Understanding of US Research Safe Harbors (US securities law Rules 137 138 and 139 of the Securities Act of 1933)
• Excellent verbal and written communication skills and strong professional demeanor.
• Proven ability to work well on teams showing initiative a positive attitude and a willingness to work
• hard independently as well.
• High level of ethical standards integrity and judgement.
• Organized self-motivated detail and deadline oriented.
• Ability to understand and analyze compliance issues and commercially provide effective tactical and
• strategic solutions.
• Securities licenses preferred but not required.
• Willing to work flexible hours in hybrid in-office/work from home model and occasional weekends.
• Highly proficient in Microsoft Office including the ability to work comfortably within Excel.

*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:

• Works independently and is accountable for managing a specialized compliance area business or function and leads a team of specialists
• Subject matter expert for a functional area
• Key contact for business management regulators and external/internal auditors dealing with non-routine information
• Focuses on short to mid- range planning (e.g. 6-12 months)
• Manages regulatory reviews including inquiries audits and exams

Education & Experience:

• Bachelors degree or progressive work experience
• 5-7 Years of related experience

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 Continuous

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 6500 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 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. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well 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.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.