Vice President – Compliance Regulatory Change Lead

TD Bank

New York, New York, United States of America
Base: $150,000 - $180,000 usd; bonus/equity: eligi...
5-7 years broker dealer or swap dealer experience
Firm understanding of global security and derivative products
Experience with regulatory compliance management frameworks
The role oversees the implementation of regulatory changes applicable to TD's U.S. Wholesale businesses as a key member of the Core Compliance Team

Job Summary

  • The role oversees the implementation of regulatory changes applicable to TD's U.S. Wholesale businesses as a key member of the Core Compliance Team.
  • Responsibilities include monitoring laws and regulations, assessing their impact on the business, and maintaining the Global Regulatory Inventory.
  • TD offers a competitive total rewards package including base salary, variable compensation, health benefits, and extensive career development opportunities.

Matching Summary

The role oversees the implementation of regulatory changes applicable to TD's U.S. Wholesale businesses as a key member of the Core Compliance Team.

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

  • 5-7 years broker dealer or swap dealer experience
  • Firm understanding of global security and derivative products
  • Experience with regulatory compliance management frameworks

Nice-to-have

  • Experience in trade or communications surveillance
  • Knowledge of market abuse behavior surveillance tools
  • Willingness to learn new regulatory areas

Key Requirements

  • BA/BS degree required; JD desirable
  • 5-7 years experience with US broker dealer, swap dealer, or GSIB
  • Advanced project management skills

Work Rights

Not specified

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