Vice President – Compliance Regulatory Change Lead

Monitor, identify, and communicate changes to laws, rules, and regulations (LRRs) for inclusion in the Firm's Global Regulatory Inventory.,Assess the impact regulatory changes may have on TD's U.S. Wholesale business.,Develop an understanding of the Firm's regulatory structure and regulated entities and how LRRs apply to them.,Apply subject matter expertise in securities regulation to the LRRs.,Monitor LRR feeds to identify rules that apply to the Firm.,Provide identified LRRs to the Reg Change Program Execution lead on a weekly basis.,Review identified LRRs with Advisory Compliance and other stakeholders to determine materiality.,Host Biweekly Reg Change Meetings to review regulatory changes with stakeholders and determine ownership for implementation.,Support as needed the activities of the Reg Change Program including tracking, reporting, and documentation.,Assist in the maintenance of the Rules Inventory that apply to the U.S. Wholesale businesses, verifying that new or changed LRRs are appropriately mapped.,Participate in activities that support the overall Regulatory Compliance Management Framework for TD.,Work independently and be accountable for managing a specialized compliance area, business, or function and lead a team of specialists.,Act as a subject matter expert for a functional area.,Serve as a key contact for business management, regulators, and external/internal auditors.,Focus on short to mid-range planning (e.g., 6-12 months).,Manage regulatory reviews including inquiries, audits, and exams.

BA/BS, or a similar degree, required. JD desirable but not required.,5-7 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.,Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements.,Experience in trade or communications surveillance (a plus).,Firm understanding of financial product rules and regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations.,Willingness to learn new regulatory areas impacting products, behaviors and market participants.,Knowledge of trade and communications surveillance tools and vendors for detecting market abuse and manipulation.,Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation.

Bachelor's Degree