**Work Location** : New York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $200,000 - $280,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 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 • Responsible for the development, maintenance and continuous enhancement of programs designed to provide effective, independent regulatory compliance risk management and oversight of business line(s) supported • Maintains accountability for anticipating, managing, and directing the response to regulatory and corporate-related compliance issues impacting the bank across a wide range of business lines, financial services products and applicable laws, regulations, and standards of ethical business conduct • Develops a program that promotes a culture of compliance utilizing a consultative approach to educate and interpret various inaugural laws and rules • Provides expert advice and counsel for executive business partners as they pertain to compliance for new business initiatives and compliance issue resolution • Develops and enhances a scalable compliance program with effective program elements that mitigate areas of compliance risk and establish sustainable controls commensurate with the risk appetite and growth of the Bank and its relevant subsidiaries • Acts as a Compliance executive lead on various projects, overseeing and/or coordinating a diverse group of compliance professionals, project managers, analysts, business and corporate function specialists, risk and control partners, and other stakeholders • Coordinates with regulators from the Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (Fed), Consumer Financial Protection Bureau (CFPB), Office of Supervision of Financial Institutions (OSFI) and internal audit to ensure compliance • Provides expert objective advice and independent challenge for business leaders, including interpreting and applying laws and regulations to business operations • Develops and enhances scalable compliance programs designed to support the Bank in achieving and maintaining compliance with laws and regulations and operating within the Bank's Risk Appetite • Structures programs to support all elements of an effective Bank-wide Compliance Management System • Develops processes to report and escalate material compliance issues, breaches and other events to senior management and regulators and delivers extensive management reporting summarizing group activity and regulatory compliance issues and events • Develops and implements remediation strategies to correct identified issues • Maintains comprehensive understanding of regulatory trends, changes and emerging risk areas, existing regulations and guidelines and the full range of Company products and services; possesses experience and understanding to respond to complex regulatory issues • Reviews and interprets new or pending laws and regulations which potentially affect existing business practices • Shares important industry trends and changes in regulations with staff • Develops and maintains strong business relationships with other related Company departments, including parent company, executive management, legal, audit, loan review, other risk departments and others to ensure productive partnerships and coordinate efforts • Serves on executive committees to provide guidance, oversight, and formal approval for regulatory related projects • Maintains external engagement with industry forums and promotes a positive brand for TD Bank **Education & Experience:** • Bachelor's degree or progressive work experience in addition to experience below • 20+ years related experience required • Certified Regulatory Compliance Manager (CRCM), law degree, regulatory, or risk management experience a plus • Extensive Operational knowledge as pertains to implementation of regulatory requirements • In-depth knowledge of financial services regulatory industry practices • Strong management experience leading regulatory compliance activities • Strong Management skills in the development and mentoring of employees • Experience establishing and implementing effective regulatory strategies, policies and plans that support ongoing Company business • Strong management, organizational and evaluative process skills. Ability to analyze complex organizational and process issues to isolate regulatory risk exposure. • Demonstrated ability to develop and maintain productive business relationships with internal partners and external regulators • Solid understanding of technology's role in the business and compliance controls • Effective negotiation and influencing skills with experience in conveying complex information to general audiences through training materials, written communications, and other means • Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions • Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams • Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels **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. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day. **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. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more (http://hrportal.ehr.com/tdtotalrewards) **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. **Colleague Development** If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals. **Training & Onboarding** We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. **Interview Process** We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. **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 USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process. 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. Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.