Vice President, Compliance - Regulatory Exam Management - Td Securities (us)

TD Ameritrade

New York, New York, United States of America
Base: $150,000 - $180,000 usd; bonus/equity: eligi...
7+ years securities compliance experience
Manage regulatory examinations and audits
Analyze and summarize regulatory documentation
The role involves managing regulatory examinations covering wholesale businesses, operations, finance, and sales and trading

Job Summary

  • The role involves managing regulatory examinations covering wholesale businesses, operations, finance, and sales and trading.
  • Candidates must prepare substantive written responses to regulatory requests and identify mitigating facts to rebut issues.
  • TD offers a competitive total rewards package including base salary, variable compensation, health benefits, and career development programs.

Matching Summary

The role involves managing regulatory examinations covering wholesale businesses, operations, finance, and sales and trading.

Salary

Base: $150,000 - $180,000 USD; Bonus/Equity: Eligible for cash and/or equity incentive awards; Benefits: Health, retirement, PTO, and banking discounts

Skills & Requirements

Must-have

  • 7+ years securities compliance experience
  • Manage regulatory examinations and audits
  • Analyze and summarize regulatory documentation
  • Communicate effectively with regulators
  • Execute issues management process

Nice-to-have

  • JD degree desirable but not required
  • Strong project management skills
  • Ability to thrive in fast-paced environment
  • Experience with wholesale business functions
  • Excellent interpersonal and leadership skills

Key Requirements

  • Bachelor's degree or progressive work experience
  • At least 5-7 years of related securities compliance experience
  • Knowledge of applicable rules and regulations

Work Rights

Not specified

Tailored Resume

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