Vice President, Compliance Monitoring Program - TD Securities (US)

Assist with the development, implementation and coordination of the Compliance Monitoring program.,Evaluate program design elements and analyze routines for inclusion into the program.,Enhance and implement key program aspects and coordinate program elements with stakeholders.,Collaborate globally to develop and enhance ongoing and potential Monitoring Activities (MAs).,Evaluate and enhance the viability of MAs through scope and sampling alignment.,Support MA execution improvements and collate, document, and evidence organization and record retention.,Conduct quality assurance of MAs against enterprise standards.,Maintain and update procedures and templates.,Monitor program progress and develop MIS reporting for ongoing tracking and evaluation.,Communicate deficiencies to key stakeholders and exercise credible challenge.,Assist Compliance testing with test execution.,Support issue management and a culture of compliance.,Participate in working groups and collaborative efforts.,Participate in special projects.,Manage a specialized compliance area, business or function.,Lead a team of specialists/professionals.,Serve as a subject matter expert for a functional area.,Act as a key contact for business management, regulators, and external/internal auditors.,Manage regulatory reviews including inquiries, audits, and exams.

Bachelor's degree or progressive work experience.,5-7 Years of related experience.,JD desirable but not required.,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.,Strong understanding of market abuse behavior surveillance and regulatory expectations.,Willingness to learn new regulatory areas.,Knowledge of trade and communications surveillance tools and vendors.,Advanced understanding of testing or audit concepts and principles, as well as control analysis and evaluation.,Excellent interpersonal, organizational, leadership, and communication (oral and written) skills.,Client service skills, including sound judgment and partnership with senior managers and global stakeholders.,Strong analytical skills with attention to detail and data evaluation.,Ability to comprehend complex compliance-related markets issues.,Self-starter with ability to learn new business areas and develop understanding of financial institution's products and regulatory requirements.,Advanced project management skills and ability to manage multiple work streams.,Ability to thrive in a fast-paced, deadline-driven environment.,Excellent time management and planning skills.

Bachelor's Degree

Occasional Domestic Travel