Vice President Swap Dealer and SBSD Compliance, TD Securities

2 weeks ago

New York, United States TD Bank Group Full time

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**Vice President Swap Dealer and SBSD Compliance, TD Securities**

349440BR

Securities / Wholesale Banking

New York , NY

February 15, 2022

**Company Overview**

TD Securities provides a wide range of M&A advisory, capital markets products and services to corporate, government and institutional clients. The firm works with clients around the world, focusing selectively and strategically on the key financial centers: Toronto, Montreal, Calgary, Vancouver, New York, London, Singapore and Tokyo. www.td.com

**Job Description**

Candidate will be responsible for business-as-usual ownership of TDs swap dealer compliance program. Reporting to the Director, Head of Regulatory Operations & Swap Dealer Compliance, Candidate must have experience in performing in-depth regulatory analysis regarding the requirements under Title VII of the Dodd-Frank Act, as well as in developing and implementing compliance programs in environments that embrace the Three Lines of Defense approach. Working in a team environment, Candidate will provide regulatory guidance, effective challenge, and ongoing support to TDs swap dealer stakeholders, as well as TDs operations and regulatory reporting teams. Candidate will also provide support with respect to the Firms recently launched security-based swap dealer and the rollout of its SBSD compliance program. Candidate must develop strong advisory relationships with change delivery, project management, governance & control, operations, regulatory reporting, technology, risk, audit, and business partners to identify and analyze complex regulatory requirements to ultimately provide key stakeholders with actionable guidance, advice, implementation support, issue-spotting, and effective challenge in a fast-paced, delivery-oriented, and diverse environment. Candidate will also provide support for TDs Operations, Volcker, and Qualified Financial Product (QFC) Recordkeeping and Stay compliance programs, the Firms LIBOR transition initiative, and multiple regulatory change projects.

**Requirements**

Provide stakeholders with real-time interpretive guidance on applicable regulatory requirements, industry trends, and best practices pertaining to the swap dealer and security-based swap dealer community

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 compliance alerts and interpretive memoranda. Implement and maintain relevant policies and procedures, including applicable compliance manuals

Develop, maintain, and deliver regulatory compliance trainings to designated personnel. Provide stakeholders with guidance and advice regarding the scoping of training audiences

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

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

**Qualifications**

5 8+ years of relevant swap dealer compliance advisory experience. Similar experience with a regulator or law firm will be considered

Knowledge of CFTC and SEC transaction reporting rules preferred. Also, knowledge of CFTC and swap data repository technical specifications a plus

Knowledge of Volcker Rule, LIBOR transition, and 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 (SEC, CFTC, FED, OCC, FINRA, NFA, FDIC, OSFI) with the ability to assess firm impact

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 control implementation, risk management and assessments, internal and external audits, regulatory examinations, 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 preferred but not required

**Hours**

40

**Inclusiveness**

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation 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.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

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