Vice President, Compliance - Monitoring & Testing, TD Securities (US)

Work Location New York, New York, United States of America Hours 40 Line Of Business Compliance Pay Detail $150,000 - $180,000 USD. TD is committed to fair and equitable compensation opportunities. Compensation may vary based upon skills, experience, location, and business needs. Job Description Vice President, Compliance at TD Securities (US) – key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. Responsible for compliance monitoring, testing, and supporting core compliance program activities. Compliance Monitoring and Testing Develop and design annual and cycle-based Compliance Testing and Monitoring plans Execute the annual Compliance Testing plan Determine test scopes, and design and develop effective test strategies and approaches Prepare cohesive workpapers and review peer workpapers in accordance with firm standards Build relationships with stakeholders globally and act as key point of contact for test deliverables, scope and findings Communicate deficiencies of test findings in advance of report issuance and exercise credible challenge Prepare reports for management that highlight scope, testing approach, overall results and findings of reviews Oversee remediation of gaps identified in the Testing or Monitoring activities Identify areas for enhanced Monitoring, Testing or training Core Compliance Design and develop Testing and Monitoring metrics and contribute to department reporting Support issues management development and tracking of Compliance-identified findings Support the development of a rules inventory covering rules and regulations applicable to TDS businesses Work closely with other support functions and business areas to support a culture of compliance across the firm Participate in special projects to enhance Compliance functions 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 (6-12 months) Manages regulatory reviews including inquiries, audits, and exams Preferred Qualifications 7+ years of experience with a registered US broker‑dealer, regulator, or global financial organization JD degree desirable but not required Knowledge of operations, finance, regulatory reporting, sales and trading at a global financial institution Firm understanding of securities and derivatives rules and regulations, and ability to learn new areas while supporting them Excellent interpersonal, organizational, leadership and communication skills Client service skills – judgment and ability to closely partner with and advise senior and line managers and stakeholders on regulatory interactions Strong analytical skills, attention to detail, solid judgment, and ability to evaluate complex regulatory business issues Advanced project management skills and ability to manage multiple work streams with limited oversight Ability to thrive in a fast-paced, deadline‑driven environment, demonstrating excellent time management and planning skills Ability to interact effectively with all levels of the organization and work collaboratively on teams of varying size Relationship builder with ability to establish, develop and maintain effective working relationships with regulators and business partners Proficient in Word, Excel and PowerPoint Education & Experience Bachelor's degree or progressive work experience 5-7 Years of related experience Physical Requirements 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 Benefits Our Total Rewards package includes base salary and variable compensation/incentive awards, health and wellbeing benefits, savings and retirement programs, paid time off (Vacation PTO, Flex PTO, Holiday PTO), banking benefits and discounts, career development, and reward and recognition. EEO Statement 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 View email address on click.appcast.io with your name, contact details and the accommodation needed. #J-18808-Ljbffr TD