Vice President, Compliance Monitoring Program - Td Securities (us)
TD Bank
New York, New York, United States
Base: $150,000 - $180,000 usd; bonus/equity: not s...
Compliance monitoring program development
Compliance test execution
Regulatory risk management
This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the development, implementation and coordination of the Monitoring program, as well as aspects of compliance test execution
Job Summary
This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the development, implementation and coordination of the Monitoring program, as well as aspects of compliance test execution.
The M&T Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe.
TD is committed to providing fair and equitable compensation opportunities to all colleagues, with growth opportunities and skill development being defining features of the colleague experience.
Matching Summary
This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on the development, implementation and coordination of the Monitoring program, as well as aspects of compliance test execution.
Salary
Base: $150,000 - $180,000 USD; Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
Compliance Monitoring Program development
Compliance test execution
Regulatory risk management
Global collaboration
Quality assurance of MAs
MIS reporting
Nice-to-have
Strong analytical skills
Client service skills
Thrive in fast-paced environment
Develop understanding of financial products
Key Requirements
Bachelors degree or progressive work experience
5-7 Years of related experience
7 years experience with registered US broker dealer, swap dealer, GSIB, or regulator
Firm understanding of global security and derivative products
Knowledge of trade and communications surveillance tools