Head of Compliance, Regulatory Initiatives, TD Securities Work Location: New York, New York, United States of America Hours: 40 Line of Business: TD Securities Pay Detail: $160,000 - $220,000 USD As a candidate, you are encouraged to ask compensation-related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Depth & Scope:
- Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required.
- Executes on TDS Compliance Initiatives in accordance with the TD Global Compliance Department Mandate and the Regulatory Compliance Management Program.
- Facilitates the support of strategy for the Compliance team by supporting the design and implementation of stakeholder engagement plans, programs and projects to support TDS regulatory Compliance objectives.
- Works closely with the Regulatory Change team within Compliance on interpreting the impact and advising management of current and emerging regulatory and compliance issues, industry or market developments to ensure that anticipated and regulatory changes are considered in business activities and strategic plans.
- Leads the strategy and long-term enablement and capabilities planning for Compliance programs by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue to meet regulatory expectations and be appropriately aligned with industry practices of peer institutions.
- Leads strategic program initiatives to continuously improve Compliance enablement and capabilities.
- With Compliance and Risk partners promotes a strong governance & control environment with periodic assessments against industry practices. Education & Experience:
- JD preferred.
- Graduate Degree.
- 10+ years of experience in a Securities business in compliance oversight. 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. 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. Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Accommodation: If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at ...@td.com. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. #J-18808-Ljbffr