VP, Global Control Room Securities Aggregation

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Hours:

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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:

Preferred Qualifications:

We are seeking an experienced Vice President to join the Compliance Control Room focusing on Securities Aggregation within the departments initiative and programs group. The successful candidate will lead a newly formed function within the TD Securities Global Control Room to oversee the monitoring calculation and reporting of aggregated securities holdings across all relevant entities and business lines. This role will provide critical oversight to ensure compliance with key regulatory regimes and will play a central part in preventing operational regulatory and reputational risks associated with limit breaches.

The VP will work closely with Global Control Room Portfolio Management Director Legal and Compliance partners to develop a robust program that provides transparency and control over securities holdings across the organization.

KEY RESPONSIBILITIES

• Design and implement an endtoend securities aggregation monitoring program including methodologies data requirements escalation procedures and reporting standards.
• Establish governance structures documentation and policies to ensure consistent interpretation and application of regulatory thresholds.
• Implement holdings related restriction controls aligned to regulatory requirements (e.g. Bank Holding Company Act sectoral foreign ownership rules).
• Oversee the daily/periodic aggregation of securities positions across all relevant TDS entities and accounts.
• Identify potential threshold breaches execute timely escalation and coordinate remediation activities.
• Advise senior stakeholders on regulatory exposure required filings and remediation actions.
• Produce periodic and adhoc reporting for Management Governance Committees and Regulators.
• Lead investigations into potential holding limit breaches and coordinate corrective action plans.
• Assess root causes and drive sustainable process enhancements to prevent recurrence.
• Support regulatory exams and internal audits.
• Identify control gaps and drive implementation of enhanced systems feeds and aggregation logic.
• Partner with Technology to enhance automation and integrity of aggregation data.

QUALIFICATIONS

• Bachelors degree required: JD or MBA preferred.
• 10 years of relevant experience in securities regulation compliance risk management or related functions.
• Deep knowledge of regulatory frameworks governing securities ownership (BHC Act foreign ownership restrictions sectoral limits).
• Strong analytical and datagovernance skills with experience in complex data environments.
• Proven ability to build new functions or programs including policy development and control design.
• Exceptional stakeholder management and communication skills including senior executive engagement.
• Experience with FundApps or similar vendors.

*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

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 strive to make every interaction product and experience remarkably human and refreshingly simple. 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.

Together we are reimagining what banking can be for our clients colleagues and communities.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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.