Td Bank VP Compliance US Core Control Room San Francisco NYC - TD Securities United States, California, San Francisco 61867915
Responsibilities Include:
- Maintain the TD Securities Grey and Restricted lists.
- Chaperone interactions and communications between Research and Investment Banking.
- Review and approve US and Canadian equity Research with an understanding of US and Canadian Research rules.
- Daily engagement with Research and Investment Banking to provide advice and guidance to business partners, conduct deal updates, answer and respond to conflicts clearance requests, and work through questions from the global Control Room inbox.
- Review and escalate conflict checks for the Investment Bank.
- Participate in regulatory exams and work with internal auditors.
- Participate in different Control Room projects with Technology and project management teams.
- Work closely with Control Room partners in the Toronto, Singapore and London Control Room.
- Work closely with Compliance Advisory and Legal as needed.
Job Requirements and Qualifications:
- Bachelor’s degree and 7+ years relevant experience.
- Previous experience with reviewing Research against Investment Banking transactions.
- A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards.
- Understanding of US Research Safe Harbors (US securities law, Rules 137, 138, and 139 of the Securities Act of 1933)
- Excellent verbal and written communication skills and strong professional demeanor.
- Proven ability to work well on teams, showing initiative, a positive attitude, and a willingness to work
- hard independently as well.
- High level of ethical standards, integrity, and judgement.
- Organized, self-motivated, detail and deadline oriented.
- Ability to understand and analyze compliance issues and commercially provide effective tactical and
- strategic solutions.
- Securities licenses preferred but not required.
- Willing to work flexible hours in hybrid in-office/work from home model and occasional weekends.
- Highly proficient in Microsoft Office, including the ability to work comfortably within Excel.
The VP Compliance TDS oversees/leads a team(s) ofspecialists/professionalsproviding advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.
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
Education & Experience:
- Bachelors degree or progressive work experience
- 5-7 Years of related experience
Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel – Occasional
- International Travel – Never
- Performing sedentary work – Continuous
- Performing multiple tasks – Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds – Occasional
- Sitting – Continuous
- Standing – Occasional
- Walking – Occasional
- Moving safely in confined spaces – Occasional
- Lifting/Carrying (under 25 lbs.) – Occasional
- Lifting/Carrying (over 25 lbs.) – Never
- Squatting – Occasional
- Bending – Occasional
- Kneeling – Never
- Crawling – Never
- Climbing – Never
- Reaching overhead – Never
- Reaching forward – Occasional
- Pushing – Never
- Pulling – Never
- Twisting – Never
- Concentrating for long periods of time – Continuous
- Applying common sense to deal with problems involving standardized situations – Continuous
- Reading, writing and comprehending instructions – Continuous
- Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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.
משרות נוספות שיכולות לעניין אותך
