Director Compliance - Testing Team Lead Td Securities jobs at Td Bank in United States, New York

Responsibilities

• Review Investment Banking (""IB"") transactions for potential addition(s) to the Watch List and/or Restricted List.

• Follow up with Investment Banking to receive deal updates and manage day-to-day Control Room processes.

• Review Sustainability & Global Research reports prior to public dissemination against the Watch or Restricted List in accordance with Laws, Rules, and Regulations.

• Provide Global Markets principal/firm trade preclearance on restricted list issuers.

• Provide information wall subject matter expertise/consultation to support all lines of business and support partners.

• Assist with the training of new hires and junior team members.

• Respond to AMRS regulatory Inquiries, lead/facilitate meetings with Research Legal and Investment Banking Legal.

• Assist the AMRS manager in Quality Assurance reviews for the AMRS team.

• Provide training and awareness to the lines of business and their support partners on information wall topics.

• Contribute to global technology initiatives via idea generation, UAT testing, or working alongside Global Tech and Operations support partners.

• Handle advanced research advisory topics, liaise with research management and legal teams, and navigate the regulatory landscape to effectively mitigate the firm’s regulatory and reputational risks in the publication of Research Reports.

• Develop, implement, and train on policies, procedures, testing protocols, and governance routines to ensure smooth operation of the control room, including conducting periodic and targeted assessments of the control environment and creating new procedures to adapt to regulatory changes.

• Collaborate with internal audit and other control functions to address identified gaps in controls, while identifying and implementing process improvements.

• Evaluate, scope, and execute major projects for the Control Room function, including day-to-day operational repairs and enhancements, technology upgrades, integrating new business lines, and supporting senior management in large-scale strategic cross-functional initiatives.

• Coordinate with legal and senior leadership, as needed, to respond to official requests from regulators and external control bodies, such as exams, letters, RFEs, and ad-hoc inquiries.

• Remote work maybe permitted within a commutable distance from the worksite.

Required Skills & Experience

• Bachelor's degree or equivalent in Economics, Statistics, Mathematics, Finance, or related: and

• 6 years of progressively responsible experience in the job offered or a related Quantitative occupation.

• Much include 6 years of experience in each of the following:

• Handling advanced research advisory topics, liaising with research management and legal teams, and navigating the regulatory landscape to effectively mitigate the firm’s regulatory and reputational risks in the publication of Research Reports;

• Developing, implementing, and training on policies, procedures, testing protocols, and governance routines to ensure smooth operation of the control room, including conducting periodic and targeted assessments of the control environment and creating new procedures to adapt to regulatory changes;

• Collaborating with internal audit and other control functions to address identified gaps in controls, while identifying and implementing process improvements;

• Evaluating, scoping, and executing major projects for the Control Room function, including day-to-day operational repairs and enhancements, technology upgrades, integrating new business lines, and supporting senior management in large-scale strategic cross-functional initiatives; and,

• Coordinating with legal and senior leadership, as needed, to respond to official requests from regulators and external control bodies, such as exams, letters, RFEs, and ad-hoc inquiries.

If interested apply online ator email your resume toand reference the job title of the role and requisition number.

This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.

Responsibilities:

• Manage the Americas control room function, including oversight of restricted lists, watch lists, global research reports, wall-crossings, MNPI (Material Non-Public Information), trade surveillance, and trade preclearance.
• Supervise and manage (10-12) Americas control room members, providing training, performance management, and leadership support.
• Serve as primary point of contact for control room matters within the Americas region, liaising with regulators, business leaders, and other stakeholders as needed.
• Implement and maintain global policies and procedures to ensure consistent application of information barrier controls.
• Oversee daily operational controls, including deal team monitoring, conflicts management, and restricted list maintenance.
• Partner with legal, compliance, and business teams to assess risks related to transactions, research publications, and market activities.
• Identify process enhancements and lead regional initiatives to improve control room efficiency and effectiveness.
• Support global control room leadership on cross-regional projects and regulatory inquiries.
• Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations
• Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures
• Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses
• Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
• Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines
• Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks
• Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage

Managerial Responsibilities:
This position may also have responsibilities for managing associates. At Bank of America, all managers at this level demonstrate the following responsibilities, in addition to those specific to the role, listed above.

• Opportunity & Inclusion Champion: Models an inclusive environment for employees and clients, aligned to company Great Place to Work goals.
• Manager of Process & Data: Demonstrates deep process knowledge, operational excellence and innovation through a focus on simplicity, data based decision making and continuous improvement.
• Enterprise Advocate & Communicator: Communicates enterprise decisions, purpose, and results, and connects to team strategy, priorities and contributions.
• Risk Manager: Ensures proper risk discipline, controls and culture are in place to identify, escalate and debate issues.
• People Manager & Coach: Provides inspection, coaching and feedback to motivate, differentiate and improve performance.
• Financial Steward: Actively manages expenses and budgets in alignment with objectives, making sound financial decisions.
• Enterprise Talent Leader: Assesses talent and builds bench strength for roles across the organization.
• Driver of Business Outcomes: Delivers results by effectively prioritizing, inspecting and appropriately delegating team work.

Required Qualifications:

• Bachelor’s degree in Finance, Law, Business, or related field (advanced degree or certification a plus).
• 10+ years’ experience preferably in a similar role, covering fundamental equity, credit, capital markets or similar products.
• Practical knowledge and experience of deal structures such as IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues.
• Experience in maintaining control room restrictions, providing research guidance and providing leadership in a high risk environment.
• Strong understanding of securities regulations (e.g., SEC, FINRA, FCA, IIROC, CVM, etc.) and global compliance frameworks.
• Demonstrated leadership skills with prior experience managing teams.
• Excellent communication, analytical, and problem-solving skills.
• Ability to manage competing priorities and operate in a fast-paced, global environment.
• High ethical standards and sound judgment in handling time sensitive information.

Preferred Skills:

• Control Room workflow experience or related knowledge; transferable skills.
• Knowledge of investment banking, capital markets, and research functions.
• Familiarity with surveillance and compliance monitoring systems.

Skills:

• Advisory
• Monitoring, Surveillance, and Testing
• Regulatory Compliance
• Reporting
• Risk Management
• Critical Thinking
• Influence
• Interpret Relevant Laws, Rules, and Regulations
• Issue Management
• Policies, Procedures, and Guidelines Management
• Business Process Analysis
• Decision Making
• Negotiation
• Process Management
• Written Communications

This job is responsible for providing leadership, technical direction and oversight to a team delivering technology solutions. Key responsibilities of the job are to provide oversight of the design, implementation, and maintenance of complex computer programs, align technical solutions to business objectives, and ensure that coding practices/quality comply with software development standards. Job expectations include conducting multiple software implementations and applying both depth and breadth in knowledge of several technical competencies.

Responsibilities:

• Designs, develops and is accountable for feature delivery
• Applies enterprise standards for solution design, coding and quality
• Ensures solution meets product acceptance criteria with minimal technical debt
• Guides the team on work breakdown and execution
• Works with the Product Owner to ensure that product backlog/requirements are healthy, with clear acceptance criteria
• Plays a team lead role (as an individual contributor) and mentors the team
• Guides team members with skills and practices (planning and estimation, peer reviews, and other engineering practices)
• Manage and support vendor-hosted applications deployed on Linux/Unix environments, ensuring stability, performance, and compliance with enterprise standards.
• Provide end-to-end support for cleared derivatives operations across AMER markets, with a focus on Futures and Options trading and clearing.
• Maintain and optimize exchange connectivity and clearing gateway infrastructure, ensuring reliable trade flow and settlement through vendor-supported platforms.
• Serve as a Level 3 escalation resource for incidents on Linux/Unix servers, providing advanced troubleshooting and infrastructure support.

Required Qualifications

• Proven experience supporting Futures and Options trading and clearing across AMER markets, with a strong understanding of trade lifecycle and post-trade operations.
• Hands-on expertise in managing clearing gateways and exchange connectivity, ensuring seamless integration and settlement across major U.S. exchanges.
• Proficiency in Oracle-based tools such as Toad and MySQL for performing data analysis, reconciliation, and reporting within trade and clearing environments.
• Strong working knowledge of Linux/Unix systems, including server administration, log analysis, and performance tuning in production environments.
• Ability to troubleshoot and escalate complex application and infrastructure issues, serving as a Level 3 support resource.
• Effective collaboration with cross-functional teams including networking, infrastructure, and vendor support to maintain operational stability.
• Strong hands-on experience in Linux/Unix server administration
• proficiency in managing vendor-hosted applications deployed on Linux platforms, ensuring high availability, reliability, and compliance with enterprise standards.
• Solid understanding of network architecture, including IP configuration, routing, DNS, and firewall management to support secure and scalable application environments.
• Experience configuring and maintaining firewall rules, network settings, and virtual systems (e.g., VMware, KVM, or cloud-based infrastructure) to support application deployment and system integration.

Desired Qualifications

• Knowledge of network architecture and virtual systems, with the ability to work closely with networking teams to configure firewall rules, network settings, and virtual environments for secure application deployment.
• Exposure to automation and system enhancement initiatives aimed at improving trade lifecycle efficiency and reducing manual intervention.
• Strong documentation and communication skills for creating workflows, incident reports, and compliance artifacts.
• Familiarity with ITIL or similar service management frameworks for incident, problem, and change management.
• Experience managing projects related to compliance, including regulatory reporting, audit readiness, and control implementation.
• Background in supporting initiatives, including infrastructure upgrades, system migrations, and compliance integration.
• Experience with cloud-based infrastructure and hybrid environments, including deployment and management of Linux-based virtual machines and containers.

Skills:

• Automation
• Influence
• Result Orientation
• Stakeholder Management
• Technical Strategy Development
• Architecture
• Business Acumen
• Risk Management
• Solution Delivery Process
• Solution Design
• Agile Practices
• Analytical Thinking
• Collaboration
• Data Management
• DevOps Practices

Minimum Education Requirement - Bachelor Degree or Equivalent Professional Experience

Job Description:

Job Description:
Leads diverse administrative functions usually for a large department or for a complete business unit. Functions may include: financial control/budgeting and consolidation, personnel processes, audit/compliance, premises, and coordination of certain projects, associate training, service quality, process improvement, business continuity, or communication. Administers bank programs and policies and may direct the development of the department's administrative policies and procedures. Requires a thorough knowledge of the department's or business unit's functional operations. Working knowledge of general bank policies, programs and procedures and financial/accounting practices. May direct workflow activities.

The Business Support Lead provides support to the Consumer & Wealth Management Tax Operations Executive and the broader leadership team. The role will be responsible for a diverse range of duties that include employee engagement coordination across multiple sites, onsite activity coordination specific to Hopewell, incoming mail processing, leader meeting coordination / calendar management, communication preparation, group mailbox management and various other administrative duties. The role will need to be proactive and promptly prioritize, disposition and follow through on all requests. Ability to exercise considerable discretion and independent judgment maintaining confidentiality, sensitivity, diplomacy, and sound judgment.
The Business Support Lead will be responsible for the following:
• On-site needs for Hopewell, Jacksonville and Phoenix locations, including equipment needs, supply orders, food orders, etc.
• Prepare department communications, host Webex meetings, prepare agendas and organize monthly meeting content for senior leader
• Coordinate and organize employee engagement events and activities across the organization, with onsite event management for the Hopewell team
• Support incoming mail to the Hopewell location, tracking and routing of documents to the appropriate teams
• Support procedure (GPS) administration across the teams as needed
• Manage various procedural requirements for ENSM, Dual Officer and impact assessment for policy / procedure changes
• Executive calendar management (scheduling conference calls, telepresence meetings, etc.), expense management and travel planning
• Assist teams as needed across the department with various tasks
• Must be resourceful and able to work autonomously across the organization; professional and able to work well with people with different interpersonal styles

Managerial Responsibilities:
This position may also have responsibilities for managing associates. At Bank of America, all managers at this level demonstrate the following responsibilities, in addition to those specific to the role, listed above.

• Opportunity & Inclusion Champion: Creates an inclusive team where members are treated fairly and respectfully.
• Manager of Process & Data: Demonstrates and expects process knowledge, data driven decisions, simplicity and continuous improvement.
• Enterprise Advocate & Communicator: Delivers clear and concise messages that motivate, convey the “why” and connects contributions to business results.
• Risk Manager: Leads and encourages the identification, escalation and resolution of potential risks.
• People Manager & Coach: Knows and develops team members through coaching and feedback.
• Financial Steward: Manages expenses and demonstrates an owner’s mindset.
• Enterprise Talent Leader: Recruits, on-boards and develops talent, and supports talent mobility for career growth.
• Driver of Business Outcomes: Delivers results through effective team management, structure, and routines.

Required Skills:

• 3+ years experience in event management, administrative tasks, meeting planning, and financial industry support
• Demonstrated ability to manage multiple & competing priorities
• Excellent attention to detail, time management and organizational skills with the ability to prioritize effectively
• Strong business writing and verbal communication skills
• Ability to work independently, multi–task, handle confidential and sensitive material with highest degree of integrity and professionalism
• Demonstrated ability to interact with senior level executives
• Strong executive presence; interpersonal communications skills, exhibiting a calm, positive and professional demeanor.
• Effective style -- able to solve problems and diffuse issues; contributes to an enjoyable and professional work environment
• Advanced skills in Outlook and other MS Office programs (Excel, Word, PowerPoint)
• Ability to work as a team player, with exceptional problem solving skills.

Desired Skills:

• Knowledge of Bank of America systems including Concur, GEPSmart, Corporate travel services, myfacility, visitor access system, etc.

Job Description:

The Senior Treasury Sales Officer (TSO) is responsible for managing all aspects of the treasury management relationship for a large ($100M+), complex portfolio of current and prospective global clients in the North America Investments and Securities team. He or she will partner with Corporate Bankers, Product, Compliance, Credit, Risk and Service partners to present optimal global solutions to meet client objectives.

Responsibilities:

• Focus on growth of new client relationships and expansion of existing relationships by identifying and cross selling our global payment solutions

• Accountable and responsible for revenue and balance growth, profitability optimization, client planning, client calling, portfolio development, pricing strategy, and proposal development and delivery for a dedicated client portfolio

• Maintain a strong client focus, industry expertise, client subsector expertise and a broad understanding of bank structures

• Lead, coach, develop Treasury Sales Analysts and Associates in day to day support of client deliverables

• Be a digital ambassador driving mobile, digital and real time payments adoption

• Manage and lead strategic dialogues around key client centric issues, leveraging best practices, peer benchmarking and industry data analytics

• Maintain regular client interactions with on-site or virtual meetings, industry conferences, roundtables and client events

Job Qualifications:

• Minimum 8 to 10 years of relevant experience in banking, treasury, and/or finance

• Successful history of direct and comprehensive treasury management sales experience

• Demonstrates the ability to identify, evaluate and articulate payment flows and potential associated risks for a complex/high risk client segment

• Demonstrates the ability to foster strong partnerships within the core team and the ability to build a sincere rapport with client contacts

• Effectively manages competing priorities in an organized fashion while maintaining a consistent level of client satisfaction

• Effectively manages risk while balancing the needs of the client, the team, and the bank

• Able to effectively work as an individual contributor as well as a close team member in a fast paced environment

• Broad and deep familiarity with global treasury management products, services and trends

• Strong Executive presence both internally/externally with ability to lead C- suite meetings

• Ability to travel approximately 50% of the time

• B.S/B.A Degree or equivalent work experience

Skills:

• Account Management

• Business Development

• Client Management

• Client Solutions Advisory

• Customer and Client Focus

• Critical Thinking

• Portfolio Analysis

• Presentation Skills

• Relationship Building

• Sales Strategy

• Coaching

• Collaboration

• Oral Communications

• Prioritization

This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise Policy (collectively “the Policies”), the Compliance and Operational Risk Management Program and Standard Operating Procedures are implemented and identifying, challenging, escalating, and mitigating risks in a timely manner.

Responsibilities:

• Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, other audits, and examinations

• Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (collectively the Policies) and the Compliance and Operational Risk Management Program and Standard Operating Procedures

• Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses

• Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities

• Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines

• Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks

• Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage

• Provide real-time support to the Global Foreign Exchange and Local Currency Trading (“FX and LCT”) Front-Line Unit with regards to the rules of the relevant products, markets and venues, and other relevant laws, rules and regulations, including internal policies, as applicable to the Global Markets Business.

• Develop an effective working relationship with Front Line Unit (“FLU”) personnel and other internal departments, such as Legal, Operations, Financial Crimes Compliance, and Regulatory Reporting.

• Assist with responding to and coordinating regulatory inquiries.

• Participate in the review and challenge of business activities in line with BofA Global Compliance and Operational Risk Program.

• Participate, as required, in internal investigations into potential breaches of regulatory/venue requirements or Firm policy.

• Participate, as required, in department initiatives in respect of regulatory/market developments and impact analysis on the firm’s business and support groups.

• Assist with the review of new business initiatives, including non-standard transactions.

• Review and assess activity which is escalated by Enterprise Independent Testing through surveillance activity undertaken and/or escalated directly by the FLU for potential market misconduct.

• Work closely with other regional Compliance and Operational Risk teams to ensure consistency in approach and best practices.

• Review/update Compliance & Operational Risk Policies and ensure they are consistent with global and local regulatory practices.

• Assist with the development of new and/or update existing Monitoring and Testing items for the Compliance and Operational Risk Program from a local and global perspective.

• Assist with the development and delivery of Compliance and Operational Risk training, both face-to-face and on-line.

• Keep abreast of regulatory change/developments

Managerial Responsibilities:
This position may also have responsibilities for managing associates. At Bank of America, all managers at this level demonstrate the following responsibilities, in addition to those specific to the role, listed above.

• Diversity & Inclusion Champion: Models an inclusive environment for employees and clients, aligned to company D&I goals.

• Manager of Process & Data: Demonstrates deep process knowledge, operational excellence and innovation through a focus on simplicity, data based decision making and continuous improvement.

• Enterprise Advocate & Communicator: Communicates enterprise decisions, purpose, and results, and connects to team strategy, priorities and contributions.

• Risk Manager: Ensures proper risk discipline, controls and culture are in place to identify, escalate and debate issues.

• People Manager & Coach: Provides inspection, coaching and feedback to motivate, differentiate and improve performance.

• Financial Steward: Actively manages expenses and budgets in alignment with objectives, making sound financial decisions.

• Enterprise Talent Leader: Assesses talent and builds bench strength for roles across the organization.

• Driver of Business Outcomes: Delivers results by effectively prioritizing, inspecting and appropriately delegating team work.

Skills:

• Advisory

• Monitoring, Surveillance, and Testing

• Regulatory Compliance

• Reporting

• Risk Management

• Critical Thinking

• Influence

• Interpret Relevant Laws, Rules, and Regulations

• Issue Management

• Policies, Procedures, and Guidelines Management

• Business Process Analysis

• Decision Making

• Negotiation

• Process Management

• Written Communications

Required Qualifications:

• Minimum of seven years of relevant experience

• May require regulatory examination/registration or certification, depending on jurisdiction and role​​​

• Good knowledge of FX products and services

Desired Qualifications:

• Bachelor’s Degree in a related field

• Experience in financial services and/or a similarly regulated sector

• Strong knowledge of Foreign Exchange Market

• Strong understanding of FX Global Code

• Strong experience in dealing with regulator and exchange inquiries and exams

• Strong understanding of market misconduct laws, rules and regulations, as well as applicable surveillance controls

• Operational Risk Management preferably with FX product knowledge experience is advantageous

• Manages team workflow across various systems and provides process oversight and direction for accurate and timely completion of deliverables
• Provides day-to-day training and coaching to team while addressing employee inquiries and escalations
• Monitors team service levels, volume, performance metric reporting, escalating concerns where appropriate
• Conducts quality assurance reviews and provides routine supervisory manager approvals
• Researches complex operational and client requests, issues, and escalations to identify root cause and assist with remediation efforts and solutions
• Reviews processes to ensure effectiveness, and recommending process improvement and risk mitigation opportunities to senior management
• Supports risk management and audit processes, including identification of issues, development of mitigation strategies, and exam preparation

• Attention to Detail
• Customer and Client Focus
• Oral Communications
• Prioritization
• Problem Solving
• Written Communications
• Account Management
• Analytical Thinking
• Coaching
• Mentoring
• Research
• Result Orientation

• Resolves day-to-day problems and executes deliverables within the business unit
• Provides functional expertise knowledge to projects or initiatives relating to the business unit
• Manages team workload and provides general oversight and direction to team Maintains internal, operational, and financial controls and works within risk appetite of the business unit
• Reviews processes to ensure they are efficient and implements process improvement opportunities

• 2–3 years of experience relating to cost basis, 1099-B tax reporting, or client reporting within a financial services or wealth management environment.
• Coaching : The ability to support a client or employee in achieving a specific personal or professional goal by providing training, feedback, and guidance.
• Drive Engagement: The ability to motivate others (live or virtually) to be creative, to overcome challenges and resolve conflict to deliver improved outcomes.
• Relationship Building: The ability to develop, establish, and maintain ethical connections and long term strategic relationships with individuals throughout the company to assist in achieving work-related goals and business objectives and to enhance decision making in business units throughout an organization.
• Research: The ability to gather information about a topic, review, analyze and interpret the results to support a recommendation or solution.
• Knowledge of various product types (Equities, mutual funds, fixed income, mortgage-backed investments, etc) within an operations setting.
• Written/Verbal Communications: The ability to clearly convey information in written form through email in a way that easily enables the resolution of a request.
• Excellent organizational and time management skills, with the ability to prioritize tasks in a fast-paced environment.