VP Compliance TDS (US) Data Infrastructure and Reporting

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:

Preferred Qualifications:

TD Securities Regulatory Compliance Management (RCM) Framework has implemented new programs and continues to enhance existing programs in order to support its strong risk culture and strategic approach in managing regulatory compliance risk. This is a newly created role on the TD Securities US Core Compliance team that will develop the critical data infrastructure for RCM Programs and will serve as the unifying point for all of the disparate data across different RCM Programs. Additionally the goal of this infrastructure is to support holistic and highly strategic reporting and visualizations of each RCM Program and the linkages between those Programs. Key responsibilities include (but are not limited to): project management over the RCM data infrastructure build; development of a new dashboard or platform to analyze data linkages and data flows between RCM Programs; ongoing support new vendor solutions or internal builds that will leverage the RCM data infrastructure.

Depth & Scope

Regulatory Compliance Management (RCM) Data Infrastructure & Reporting

• Implement the TD Securities US Core Compliance Data Strategy including the build-out of the data infrastructure that will underpin the strategy
• Develop reporting tools and visualizations leveraging the RCM data infrastructure to deliver strategic insights to a variety of audiences including senior management
• Partner closely with Leads across RCM Programs (such as Monitoring & Testing Risk Assessment Regulatory Change Regulatory Relations Rules & Controls Inventory and Reporting & Metrics) to operationalize the data for those programs
• Create robust data organization and reporting solutions across the Core Compliance programs
• Support business data collection and aggregation for the Compliance Monitoring & Testing (M&T) and various assessment processes
• Participate in ad hoc special projects

Education & Experience

• BA/BS or a similar degree required.
• Advanced technical skills especially with Microsoft Power applications (e.g. Apps Automate Flow)
• Office Suite (Excel Access PowerPoint Word Visio) required
• Data visualization (e.g. Tableau Qlikview etc.) preferred.
• Big data (e.g. SQL Alteryx Dataiku etc.) a plus but not required.
• Strong analytical skills attention to detail solid judgment and the ability to evaluate complex regulatory business issues.
• Project management skills and ability to manage multiple work streams involving different partners and groups.
• 6 or more years of experience with a registered US broker dealer or regulator.
• Working knowledge of wholesale banking products and services operations regulatory frameworks (e.g. applicable rules and regulations) and the ability to learn new areas while supporting them.
• Excellent interpersonal organizational and communication (oral and written) skills.
• Client service skills the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on projects.
• Ability to thrive in a fast-paced deadline-driven environment including by demonstrating excellent time management and planning skills along with the ability to handle multiple assignments at the same time.

*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.