TD Securities · 1 month ago
Vice President, Compliance Monitoring Program - TD Securities (US)
New York, NY
Full-time
Onsite
Mid, Senior Level
$145K/yr - $185K/yr
5+ years expTD Securities is a global leader in capital markets products and services, committed to innovation and client service. The Vice President, Compliance Monitoring Program will lead the development and execution of the Compliance Monitoring program, ensuring regulatory compliance and risk management across the organization.
BankingFinanceFinancial Services
Responsibilities
Assist with the development, implementation and coordination of the Compliance Monitoring program, including evaluating program design elements, analyzing routines for inclusion into the program, enhancing and implementing key program aspects and coordinating program elements with stakeholders across all lines of defense
Collaborate with colleagues globally to develop and enhance ongoing and potential Monitoring Activities ("MA")
Evaluate and enhance the viability of MAs through scope and sampling alignment; support MA execution improvements; collate, document and evidence organization and record retention
Conduct quality assurance of MAs against the enterprise standards and help to maintain efficient and effective coverage
Maintain and update procedures and templates as required
Monitor program progress and develop MIS reporting for ongoing tracking and evaluation of Monitoring Activities
Communicate deficiencies to key stakeholders and exercise credible challenge
Assist Compliance testing with test execution that contributes to the overall Compliance Coverage plan
Support issue management and support a culture of compliance across the enterprise
Participate in, and contribute towards, working groups and collaborative efforts
Participate in special projects as they arise to enhance the overall Core Compliance functions
Qualification
Required
Bachelors degree or progressive work experience
5-7 Years of related experience
Preferred
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, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations. A 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
Excellent interpersonal, organizational, leadership and communication (oral and written) skills
Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships
Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues
Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations
Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills
Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus
Benefits
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
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
2026-01-06
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