Td Bank Vice President US Markets Equities Compliance Advisory TD Securities United States, New York, New York 566285242
Responsibilities:
- Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
- Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
- Maintain and Oversee the Firm’s Equity Trading activities
- Assist the business on implementing and documenting various supervisory/control mechanisms.
- Assist the business on drafting, updating, and implement relevant policies and procedures.
- Provideregulatory/compliancetraining.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
- Interact with federal and state regulators
- Assist in the performance of testing and monitoring of compliance with firm policies for covered business areas
- Conduct compliance risk assessments to ensure effective business control framework
- Analyze new regulations and conduct business-based analysis and execute requite implementation.
- Develop and deliver proactive strategies and tactics that support compliance/business objectives
Position Requirements
- 7+ years of Compliance experience, including Securities Advisory experience. Knowledge of trading algorithms, alternative trading systems and market structure preferred
- Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Businesses
- Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, Exchange Level SROs including NYSE, NASDAQ & CBOE.
- 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.
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