Td Bank Vice President – US Markets Investment Banking Compliance Advisory 

United States, New York, New York 

561450850

New York, New York, United States of America

$115,000 - $185,000 USD

Responsibilities:

• Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of equity and debt securities.
• Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific.
• Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions.
• Ensure day-to-day activities of the Investment Banking Compliance team are in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits.
• Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments across seniorfunction/business/product,including cross-border impact.
• Participate in industry groups and trade association working groups or other forums.
• Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams/individuals for appropriate remediation or corrective actions as required.
• Assist with development and delivery of training program for front office personnel and relevant control personnel.

Position Requirements

• 5-7+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
• Experience in providing legal, regulatory or compliance advice to Markets sales and trading
• Knowledge of Corporate Investment Banking and Capital Markets
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complexregulatory/compliancedecisions in a fast-paced and high pressured environment.
• Ability to project confidence and professionalism in dealings with senior business personnel.
• Strong knowledge of technology infrastructure and global booking models
• Ability to work on multiple projects in a fast paced environment
• Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally;
• JD a plus

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

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.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.