TD Jobs For Vice President – U.S. Markets Compliance Advisory (Volcker, QFC), TDS

TD Bank

Job Description:

TD Bank, America’s Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and servicesTD Bank, America’s Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol “TD”. To learn more, visit

Job Responsibilities:

  • Candidate will take an active part in developing and implementing TD Bank’s new Qualified Financial Contract compliance program,
  • As well as in maintaining and enhancing TD’s existing Volcker Compliance Program. Reporting to the Director, Operations & Swap Dealer Compliance,
  • Candidate must have experience in performing regulatory analysis and in developing and implementing compliance programs in environments that embrace the “Three Lines of Defense” approach.
  • Assist the business with implementing and documenting various supervisory control mechanisms.
  •  Provide a high level of customer service to our internal clients and stakeholders, acting as a key point of contact for internal inquiries.

Job Requirements:

  •  Provide stakeholders with real-time interpretive guidance on applicable regulatory requirements, industry trends, and best practices.
  • Analyze new regulations and participate in business impact assessments and working sessions to help support and drive critical regulatory implementations.
  •  Analyze regulatory changes and developments that impact in-scope areas. Advise stakeholders regarding impacts to business-as-usual activities, as well as net new regulatory requirements.
  • Draft interpretive memoranda and implement, and maintain relevant policies and procedures, including applicable compliance manuals.
  • Develop, maintain, and deliver electronic and live regulatory compliance training.
  • Participate in internal investigations, respond to regulatory inquiries, draft responses to regulatory examination questions, guide stakeholders through exam-related remediations, and coordinate internal and external audits and management responses.
  • Develop and implement compliance monitoring and testing activities for covered business areas.
  •  Evaluate regulatory guidance and recent enforcement activity to help foster line-of-business awareness, as well as shape compliance resource allocation and strategic direction.
  • Participate in compliance risk assessments to help confirm effective business control framework.
  •  Provide ongoing reporting to senior management.
  • Develop and deliver proactive strategies and tactics that support compliance and business objectives.
  • Explore and delivery process improvements to drive efficiency and streamline existing workflows.

Qualification & Experience:

  •  5-8 years of relevant compliance advisory experience. Similar experience with a regulator or law firm will be considered
  • Strong knowledge of the Volcker Rule required. Knowledge of Qualified Financial Contract (QFC) Resolution
  • Stay Regulations and QFC Recordkeeping requirements a plus
  • Specific experience in providing legal, regulatory, or compliance advice to regulated entities
  • Knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact.
  • Specifically, SEC, CFTC, FED, OCC, FINRA, NFA, FDIC
  • Excellent oral and written communication skills
  • Meticulous attention to detail and due diligence
  •  Ability to make, support and defend difficult and complex regulatory and compliance decisions in a fast-paced and delivery-focused environment
  • Ability to project confidence and professionalism in dealings with senior business personnel
  • Knowledge of risk management, audits, technology infrastructure, and global booking models preferred
  • Ability to work on multiple projects in a fast-paced environment
  •  Ability to work effectively in a global environment; leveraging and sharing best practices and insights with
  • colleagues globally
  • JD strongly preferred

Job Details:

Company: TD Bank

Vacancy Type: Full Time

Job Functions: Business Development ,Sale

Job Location: New York, NY, US

Application Deadline: N/A

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