Compliance Advisory Vice President

3 weeks ago

New York, New York, United States TD Bank Group Full time
Job Summary

We are seeking a highly skilled Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President will assist in the management of the firm's compliance program supporting all corporate investment banking functions, including debt and equity capital markets.

Key Responsibilities
  • Provide day-to-day strategic advice and guidance to front office and relevant control functions regarding public and private offerings of equity and debt securities.
  • Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe, and Asia Pacific.
  • Monitor and identify regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions.
  • Ensure day-to-day activities of the Investment Banking Compliance team are in a manner consistent with the Bank's risk culture and the relevant risk appetite statement and limits.
  • Responsible for analyzing and scoping the impact of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact.
  • Participate in industry groups and trade association working groups or other forums.
  • Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams/individuals for appropriate remediation or corrective actions as required.
  • Assist with development and delivery of training program for front office personnel and relevant control personnel.
Requirements
  • 5-7+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.
  • Experience in providing legal, regulatory, or compliance advice to Markets sales and trading.
  • Knowledge of Corporate Investment Banking and Capital Markets.
  • Strong knowledge of applicable securities laws, rules, and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC.
  • Excellent oral and written communication skills.
  • Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment.
  • Ability to project confidence and professionalism in dealings with senior business personnel.
  • Strong knowledge of technology infrastructure and global booking models.
  • 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 a plus.
Depth & Scope
  • Works independently and is accountable for managing a specialized compliance area, business, or function and leads a team of specialists.
  • Subject matter expert for a functional area.
  • Key contact for business management, regulators, and external/internal auditors, dealing with non-routine information.
  • Focuses on short to mid-range planning (e.g., 6-12 months).
  • Manages regulatory reviews including inquiries, audits, and exams.

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