Vice President, Compliance Monitoring Program - Td Securities (us)

TD

New York, NY, United States
Base: $150,000 - $180,000 usd; bonus/equity: not s...
Compliance monitoring program development
Regulatory risk management expertise
Team leadership in compliance
This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing Team responsible for developing and coordinating the Compliance Monitoring program across US and global businesses

Job Summary

  • This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing Team responsible for developing and coordinating the Compliance Monitoring program across US and global businesses.
  • TD Securities offers a wide range of capital markets products and services with a strong focus on innovation, execution, and client experience supported by more than 6,500 professionals worldwide.
  • The Total Rewards package includes base salary, variable compensation, health and well-being benefits, savings and retirement programs, paid time off, banking benefits, and career development opportunities.

Matching Summary

This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing Team responsible for developing and coordinating the Compliance Monitoring program across US and global businesses.

Salary

Base: $150,000 - $180,000 USD; Bonus/Equity: Not specified; Benefits: Health, retirement, paid time off, banking discounts

Skills & Requirements

Must-have

  • Compliance monitoring program development
  • Regulatory risk management expertise
  • Team leadership in compliance
  • Global collaboration on monitoring activities
  • Quality assurance of compliance tests
  • Advanced project management skills
  • Proficiency in Excel, Word, PowerPoint, SharePoint

Nice-to-have

  • Knowledge of trade and communications surveillance tools
  • Experience with market abuse behavior surveillance
  • Strong analytical and organizational skills
  • Client service and stakeholder relationship building
  • Ability to thrive in fast-paced environment
  • Self-starter with learning aptitude

Key Requirements

  • Bachelor's degree or progressive work experience
  • 5-7 years related experience
  • 7 years experience with US broker dealer or GSIB
  • Firm understanding of global securities and derivatives
  • Experience in trade or communications surveillance
  • Advanced understanding of testing or audit principles
  • Excellent communication and leadership skills

Work Rights

Not specified

Tailored Resume

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