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Form of workCompany Overview
Our Values
At TD, we're guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and behaviors. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career, and be part of our caring and inclusive culture.
Making Your Well-being a Priority
A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars - physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive 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.
How We Work
At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they'll always have access to the TD community to experience our culture of care.
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
Department Overview
TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. This Director Role is a newly created role on the Core Compliance team who will develop a Compliance Dashboard which will provide comprehensive Monitoring and Testing coverage analysis. This individual will also be tasked with creating forward projection and overall gap analysis and report to ensure all applicable Rules, Laws and Regulations are tested in accordance with the RCM standards.
Depth and Scope:
Regulatory Compliance Management (RCM) Program Management and Data Analytics.
Job Requirements
Education & Experience:
Job Details
Depth & Scope
Inclusiveness
Our Commitment to Diversity, Equity, and Inclusion
At TD, we're committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We're dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
Accommodation
If you are a candidate with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
How We're Helping Make an Impact in Communities
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That's why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It's our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.
We look forward to hearing from you!
Qualifications
Preferred Qualifications:
Our Values
At TD, we're guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and behaviors. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career, and be part of our caring and inclusive culture.
Making Your Well-being a Priority
A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars - physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive 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.
How We Work
At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they'll always have access to the TD community to experience our culture of care.
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
Department Overview
TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new and/or enhancements to existing programs to support a strong risk culture and comprehensive approach to managing regulatory compliance risk. This Director Role is a newly created role on the Core Compliance team who will develop a Compliance Dashboard which will provide comprehensive Monitoring and Testing coverage analysis. This individual will also be tasked with creating forward projection and overall gap analysis and report to ensure all applicable Rules, Laws and Regulations are tested in accordance with the RCM standards.
Depth and Scope:
Regulatory Compliance Management (RCM) Program Management and Data Analytics.
- Support the establishment of RCM program for TDS US Compliance in accordance with TD's enterprise RCM framework. RCM program elements include rules inventory, control mapping, issues management, monitoring and testing and regulatory change.
- Create a Rules Inventory and Monitoring and Testing Coverage Map Dashboard for TDS which pulls in multiple data sources such as Risk Ratings, Business units, Controls and applicable Rules, Laws and Regulations.
- Create a Testing Scorecard with dashboard functionality that will allow us to track coverage on a go forward- basis of required Laws, Rules and Regulations based of the Risk Assessment results
- Continuous support of the dashboard, which will include but not limited to Business Unit updates, changes to the rules inventory as it relates to regulatory change, and control mapping and any updates to the risk assessment results
- Provide and create a comprehensive Metrics solution for the reporting of testing reviews and results as well as all issues management activities that have been identified.
- Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses.
- Support and challenge the Firm's control mapping to applicable rules together with relevant monitoring and testing activities of those controls
- Support the issues management program, which includes entering and tracking issues to closure as well as issue validation.
- Assist, as needed, with monitoring and testing activities which may include execution of testing activities with the Monitoring and Testing team.
- Participate in ad hoc special projects
Job Requirements
Education & Experience:
- Bachelors degree or progressive work experience
- 7-10 years related experience
- Must be eligible for employment under regulatory standards applicable to the position.
Job Details
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.
Inclusiveness
Our Commitment to Diversity, Equity, and Inclusion
At TD, we're committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We're dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
Accommodation
If you are a candidate with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
How We're Helping Make an Impact in Communities
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That's why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It's our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.
We look forward to hearing from you!
Qualifications
Preferred Qualifications:
- BA/BS, or a similar degree
- Advanced Technical Skills within Microsoft Office Suite (Excel, Access, PowerPoint, Word, Tableau and Visio)
- 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.
- 10 or more years of experience with a registered US broker dealer or regulator.
- Knowledge of operations, finance, regulatory reporting, sales and trading, and 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.
