VP - Volcker, Regulatory Operations Compliance, TD Securities at TD Bank in New York, NY
Candidate will be responsible for providing regulatory guidance and effective challenge with respect to TD's Volcker Compliance Program and for providing ongoing support to TD's operations and regulatory reporting teams. Reporting to the Director, Head of Regulatory Operations & Swap Dealer Compliance, Candidate must have experience in performing regulatory analysis and in developing and implementing compliance programs in environments that embrace the Three Lines of Defense approach. Serving as a Vice President on the TD Securities U.S. Markets Compliance Advisory Team, Candidate must develop strong relationships with change delivery, project management, governance & control, operations, regulatory reporting, technology, and business partners to identify and analyze complex regulatory requirements to ultimately provide key stakeholders with actionable guidance, advice, implementation support, issue-spotting, and effective challenge in a fast-paced, delivery-oriented, and diverse environment. Candidate will also provide support for TD Bank's new security-based swap dealer and existing swap dealer compliance programs, the firm's Qualified Financial Product (QFC) Recordkeeping and Stay programs, TD's LIBOR transition initiative, and multiple regulatory change initiatives. Requirements o Provide stakeholders with real-time interpretive guidance on applicable regulatory requirements, industry trends, and best practices o Analyze new regulations and participate in business impact assessments and working sessions to help support and drive critical regulatory implementations o Analyze regulatory changes and developments that impact in-scope areas. Advise stakeholders regarding impacts to business-as-usual activities, as well as net new regulatory requirements o Draft interpretive memoranda and implement, and maintain relevant policies and procedures, including applicable compliance manuals o Develop, maintain, and deliver electronic and live regulatory compliance training o Assist the business with implementing and documenting various supervisory control mechanisms o Provide a high level of customer service to our internal clients and stakeholders, acting as a key point of contact for internal inquiries o Participate in internal investigations, respond to regulatory inquiries, draft responses to regulatory examination questions, guide stakeholders through exam-related remediations, and coordinate internal and external audits and management responses o Develop and implement compliance monitoring and testing activities for covered business areas o Evaluate regulatory guidance and recent enforcement activity to help foster line-of-business awareness, as well as shape compliance resource allocation and strategic direction o Participate in compliance risk assessments to help confirm effective business control framework o Provide ongoing reporting to senior management o Develop and deliver proactive strategies and tactics that support compliance and business objectives o Explore and delivery process improvements to drive efficiency and streamline existing workflows Qualifications o 5 - 8 years of relevant compliance advisory experience. Similar experience with a regulator or law firm will be considered o Knowledge of the Volcker Rule and of trade and transaction regulatory reporting required. Knowledge of Qualified Financial Contract (QFC) Resolution Stay Regulations and QFC Recordkeeping requirements a plus o Specific experience in providing legal, regulatory, or compliance advice to regulated entities o Knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, SEC, CFTC, FED, OCC, FINRA, NFA, FDIC, OSFI o Excellent oral and written communication skills o Meticulous attention to detail and due diligence o Ability to make, support and defend difficult and complex regulatory and compliance decisions in a fast-paced and delivery-focused environment o Ability to project confidence and professionalism in dealings with senior business personnel o Knowledge of risk management, audits, technology infrastructure, and global booking models preferred o Ability to work on multiple projects in a fast-paced environment o Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally o JD strongly preferred Hours
Salary Range:
$200K -- $250K
Minimum Qualification
Auditing & ComplianceEstimated Salary: $20 to $28 per hour based on qualifications.
Salary Range:
$200K -- $250K
Minimum Qualification
Auditing & ComplianceEstimated Salary: $20 to $28 per hour based on qualifications.
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