Td Bank Director Compliance - US Markets Global Transaction 

United States, New York, New York 

482144005

New York, New York, United States of America

$185,000 - $225,000 USD

Job Description:

must have compliance advisory experience in the Global Transaction Banking Space supporting a wholesale client base. Including knowledge of the regulatory framework supporting businesses such as Global Trade Finance and Payments & Corporate Cash Management\. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. In addition, this individual will be responsible for management of individuals covering these Business lines from a Compliance perspective today.

The Director 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.

Responsibilities:

• Provide day to day advice to the Global Transaction Banking Business

• Advise business areas on firm policies and procedures, regulatory requirements and industry bestpractice.

• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.

• Draft, update, and implement relevant policies and procedure.

• Provideregulatory/compliancetraining.

• Assist the business on implementing and documenting various supervisory/control mechanisms.

• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.

• Interact with federal and state regulators

• Ensure appropriate LRRs and Controls are mapped to the Business

• Conduct compliance risk assessments to ensure effective business control framework

• Analyze new regulations and conduct business-based analysis and execute requite implementation.

• Provide ongoing reporting to senior management

• Develop and deliver proactive strategies and tactics that support compliance/business objectives

Depth & Scope

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.

• Position deals with senior/executive management.

• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.

• Focuses on longer-range planning for functional area (e.g. 12 months or greater).

• Manages and prioritizes multiple projects at a given time.

Preferred Qualifications:

• Approximately 10+ years of advisory experience.

• Significant experience in providing legal, regulatory or compliance advice to Global Transaction Banking Businesses specifically including Wholesale counterparties.

• Familiarity with Bank Regulations such as Title 12.

• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED 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

Education & Experience:

• Bachelors degree or progressive work experience

• 7-10 years 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.