Managing Director â Global Head of Compliance Technology
Managing Director â Global Head of Compliance Technology
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1 Vacancy
Job Description
Work Location:
New York New York United States of AmericaHours:
40Line of Business:
Technology SolutionsPay Detail:
200000 - 280000 USDTD 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:
Department Overview
TD Securities (TDS) delivers a broad range of Corporate Investment Banking and Capital Markets products and services to corporate government and financial institution clients through Global Transaction Banking (GTB) Corporate and Investment Banking (CIB) and Global Markets (GM). Operating across key global financial centersincluding New York Toronto Montreal Calgary Vancouver London Singapore and TokyoTDS focuses on strategic selective client engagement worldwide.
Compliance Surveillance & Supervision is integral to TDSs growth strategy driving transformation and modernization to address evolving regulatory scrutiny enhance operational efficiency and support business expansion. The organization leverages a combination of vendor products advanced data pipelines reconciliation tools and in-house solutions to provide a complete and accurate view to senior stakeholders.
Core workstreams include: Trade Surveillance Communication Surveillance Financial Crimes & Risk Management (transaction surveillance) Regulatory Compliance Management and Conduct & Supervision.
Role Summary
The Managing Director (MD) Global Head of Compliance Technology will define and execute the technology strategy for Compliance Surveillance & Supervision with a focus on innovation operational efficiencies automation and data quality. The MD will lead technology initiatives that align with regulatory requirements business priorities and emerging industry trends while directly managing a global team to build capabilities and talent for long-term success.
Key Responsibilities
Strategic Leadership Develop and execute the technology strategy and roadmap to drive transformation improve operational efficiencies and deliver an integrated compliance platform across all workstreams.
Technology Innovation Identify implement and scale advanced technologies (e.g. AI machine learning) to enable data-driven decision-making automation and reduced vendor dependency.
Application Development & Integration Oversee design development and maintenance of technology platforms
Data & Analytics Lead initiatives to enhance data management analytics and AI-driven insights for compliance surveillance and supervision.
Cybersecurity & Compliance Ensure adherence to industry regulations cybersecurity best practices and internal risk policies; proactively identify and mitigate risks.
Collaboration & Stakeholder Engagement Partner with senior leaders technology teams and vendors to deliver scalable innovative and business-aligned solutions.
Operational Excellence Optimize IT infrastructure and cloud strategies to improve efficiency control costs and enable rapid scalable growth.
Talent & Team Leadership Build and lead a high-performing global compliance technology team fostering innovation collaboration and continuous improvement.
Qualifications
20 years of technology leadership experience within Compliance in Financial Services.
Deep compliance and regulatory domain expertise
Proven track record delivering enterprise-level technology solutions in fast-paced regulated environments.
Exceptional executive-level communication leadership and strategic visioning skills.
Experience working with regulatory bodies and ensuring compliance with financial industry standards.
Bachelors or Masters degree in Computer Science Engineering Finance or a related field.
Inclusiveness
At TD we are committed to fostering an inclusive accessible environment where all employees and customers feel valued respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities we serve. If you require accommodation during the recruitment or interview process please let us knowwe will work with you to meet your needs.
Depth & Scope:
- Develops technology work direction and oversees and the end to end delivery of technology solutions or services for a key business portfolio / segment or enterprise area with a clear focus on strategic planning schedule management scope change / issues management client communication and overall resourcing and financial costs on a longer term basis
- Responsible for project delivery for the set of application in their scope commissioning projects to be executed by assigned Project Managers
- Oversees broad and diverse functional teams of IT professionals / specialized resources to deliver appropriate and optimal solutions and ensures respective areas are adequately resourced to meet negotiated deliverables
- Acts as the primary Technology liaison / relationship management partner by working closely with business management / leadership teams to define innovative and comprehensive IT solutions that meet business objectives and emerging / evolving business needs
- Ensures strong communication stakeholder / partner management and client relationships are maintained to ensure successful delivery of technology solutions
- Manages day to day project activities for multiple resources and oversees delivery from multiple capability teams
- Partners with clients/ businesses in developing business cases RFI/RFP contracts service level agreements etc. consistent with business objectives and technology standards/architecture
- Assists in the assessment of the scope and risk of projects and provides input into development of project plans developed and owned by project managers
- Works closely with management teams to ensure a seamless work in-take and delivery of client requests to ensure on-going focus on reusability scalability and enterprise-wide solutions to maximize returns on the suite of products
- Understands LOB Stakeholders background and the stated / unstated expectations of the program as the program progresses and actively involves LOB Stakeholders to review progress and resolve escalated item
- Liaises with internal cross functional technology partner in delivery and improvement of services
- Provides regular status review of all ongoing development and project activities to ensure optimal demand management processes in place
- Participates in segment business strategy and business planning and translates work effort required across all impacted functions
- Sets direction and oversees a significant and diverse group/mix of technology professionals in the end to end delivery of technology solutions and/or services for a significant business portfolio / segment
- Generally involved in overseeing large complex technology projects system enhancements /applications and/or application management and requires top level expertise/specialization combined with management of a discrete unit or function having significant autonomy and a long term business perspective
- Generally supports a key business segment corporate function or segment CIO partner and regularly interfaces with senior executives at the SVP/VP level
- Accountable for a significant and sizeable budget for either on-gong maintenance and/or new developments/system enhancements for assigned business clients at the executive level
- Manages a diverse range of IT professionals typically through a management team that directly manage a team of specialists involved in complex integration development or system maintenance projects (where team size generally exceeds 50 FTE and additional third party resources)
- Oversees end to end delivery for a significant portfolio or suite of applications/platforms comprised of multiple concurrent projects / programs that can be enterprise in scope and generally up to and including projects at the Tier 1 level with a high complexity profile.
Education & Experience:
- College degree or specialized training / equivalent work experience
- 7 years 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.
Required Experience:
Exec
Employment Type
Full-Time
