429917BR

　　Job Title:

　　Vice President, Compliance - Monitoring and Testing, TD Securities

　　Company Overview:

　　Our Values

　　At TD, we're guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and behaviors. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career, and be part of our caring and inclusive culture.

　　Making Your Well-being a Priority

　　A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars — physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best.

　　Our Total Rewards Package

　　Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

　　How We Work

　　At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they’ll always have access to the TD community to experience our culture of care.

　　Who We Are

　　TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

　　Auto req ID:

　　429917BR

　　Department Overview:

　　This Vice President – Compliance Monitoring and Testing role is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing Team sits in Core Compliance and covers the TDS US businesses and certain global businesses, working with regional testing teams across the globe. This role will also support other aspects of the Core Compliance program as needed.

　　Compliance Monitoring and Testing

　　Execute the annual Compliance testing and monitoring plan

　　Determine scope of reviews

　　Prepare cohesive workpapers for each test in accordance with firm standards.

　　Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of report issuance.

　　Prepare reports for management that highlights the scope, testing approach and the overall results and findings of the compliance testing review.

　　Execute Branch Inspections

　　Oversee remediation of gaps identified in the testing process

　　Support issues management development and tracking of Compliance-identified findings

　　Participate in special projects as they arise to enhance compliance functions

　　Work closely with other support functions and the business areas to support a culture of compliance across the firm

　　Assist in identifying areas for enhanced monitoring or training

　　Country:

　　United States

　　Job Requirements:

　　Education & Experience:

　　Bachelors degree or progressive work experience

　　5-7 Years of related experience

　　Must be eligible for employment under regulatory standards applicable to the position.

　　Hours:

　　40

　　Job Details:

　　Depth & Scope:

　　Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists

　　Subject matter expert for a functional area

　　Key contact for business management, regulators and external/internal auditors, dealing with non-routine information

　　Focuses on short to mid- range planning (e.g. 6-12 months)

　　Manages regulatory reviews including inquiries, audits, and exams

　　Inclusiveness:

　　Our Commitment to Diversity, Equity, and Inclusion

　　At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

　　EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

　　Accommodation

　　If you are a candidate with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

　　How We're Helping Make an Impact in Communities

　　TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.

　　We look forward to hearing from you!

　　State:

　　New York

　　City:

　　New York

　　Qualifications:

　　Preferred Qualifications:

　　BA/BS, or a similar degree

　　7 or more years of experience with a registered US broker dealer or regulator.

　　JD desirable but not required

　　Work Location:

　　125 Park Avenue TDS

　　Business Line:

　　TD Securities

　　Job Category - Primary:

　　Anti-Money Laundering / Compliance & Regulatory Relations

　　Job Category(s):

　　Anti-Money Laundering / Compliance & Regulatory Relations

　　State (Primary):

　　New York

　　City (Primary):

　　New York

　　Time Type:

　　Full Time

　　Employment Type:

　　Regular

　　Pay Range:

　　$160,000 - $187,250 annually

　　Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.