Td Bank Vice President - Compliance Monitoring Testing 

United States, New York, New York 

695823026

New York, New York, United States of America

$140,000 - $185,000 USD

Preferred Qualifications:

Key responsibilities include (but are not limited to): project management over the M&T process (including Branch Inspections); development of a new dashboard or platform to coverage of the M&T and Branch Inspections plan; support issues management and tracking for the M&T and Branch Inspections programs (and Core Compliance overall).

Depth & Scope:

Regulatory Compliance Management (RCM) Program Management and Data Analytics.

• Support the development and maintenance of the Firm's Monitoring and Testing Coverage Plan, which includes data review and analysis to harmonize with the overall rules inventory, control and business mappings and Risk Assessment ratings.
• Partner closely with the Risk Assessment and Compliance Markets Advisory teams, as necessary, to create a cohesive pipeline between the Risk Assessment program and the Monitoring & Testing program.
• Develop dashboard to track monitoring and testing activities and plan progress throughout the review cycle.
• Partner closely with the M&T and Branch Inspections teams to continuously monitor reviews being conducted and completed.
• Manage the reporting and metrics deliverables related to the Monitoring & Testing and Branch Inspections teams.
• Support technology and automation initiatives for Core Compliance, where possible
• Participate in
  ad hoc
  special projects.

Education & Experience:

• BA/BS, or a similar degree, required.
• 5-7 Years of related experience
• Advanced technical skills, especially with Microsoft Office Suite (Excel, Access, PowerPoint, Word, Visio)
• Data visualization (e.g., Tableau, Qlikview, etc.), preferred.
• Big data (e.g., SQL, Alteryx, Dataiku, etc.) a plus, but not required.
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
• Project management skills and ability to manage multiple work streams involving different partners and groups.
• 6 or more years of experience with a registered US broker dealer or regulator.
• Knowledge of wholesale banking products and services, operations, regulatory frameworks (e.g., applicable rules and regulations), and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, and communication (oral and written) skills.
• Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
• Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.

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

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.