Director - Bank Regulatory Compliance Officer, Td Securities (us)

TD Bank

New York, New York, United States of America
Base: $180,000 - $225,000 usd; bonus/equity: eligi...
Frb regulation w expertise
Occ regulatory application
Second line of defense controls
This role serves as a key member of the newly created Compliance Regulatory Initiatives Team focused on remediation and program development within TD Securities' US Wholesale Compliance Group

Job Summary

  • This role serves as a key member of the newly created Compliance Regulatory Initiatives Team focused on remediation and program development within TD Securities' US Wholesale Compliance Group.
  • The incumbent is accountable for providing real-time interpretive guidance on OCC and FRB regulations while performing effective second-line challenge activities for the New York Branch.
  • TD offers a competitive total rewards package including base salary, variable compensation, health benefits, and extensive career development opportunities to support colleague growth.

Matching Summary

This role serves as a key member of the newly created Compliance Regulatory Initiatives Team focused on remediation and program development within TD Securities' US Wholesale Compliance Group.

Salary

Base: $180,000 - $225,000 USD; Bonus/Equity: Eligible for cash and/or equity incentive awards; Benefits: Health, retirement, PTO, and banking discounts included

Skills & Requirements

Must-have

  • FRB Regulation W expertise
  • OCC regulatory application
  • Second line of defense controls
  • Bank regulatory compliance SME
  • Regulatory examination remediation

Nice-to-have

  • Strong interpersonal leadership skills
  • Fast-paced delivery environment
  • Knowledge of markets surveillance systems
  • JD degree preferred
  • Collaborative stakeholder partnership

Key Requirements

  • 8 to 10 years experience in bank regulatory compliance
  • BA/BS degree required; JD desirable
  • Experience with registered US broker dealer or GSIB
  • Deep understanding of FRB and OCC regulations

Work Rights

Not specified

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