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Executive Vice President, Compliance Advisory

2 months ago

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

TD Bank Group is seeking a highly experienced and skilled Executive Vice President, Compliance Advisory to join our team in New York. The ideal candidate will have a strong background in compliance advisory services, specifically in the municipal securities business lines.

Key Responsibilities:
  • Provide day-to-day compliance advice to the Public Finance and Municipal Securities Sales and Trading business units.
  • Advise business areas on firm policies and procedures, regulatory requirements, and industry best practices.
  • Support the development and implementation of the firm's Regulatory Compliance Management Framework, including rules mapping, control mapping, and ongoing compliance assessment processes.
  • Identify regulatory trends and developments that impact business areas and advise staff on how to adapt to these changes.
  • Draft, update, and implement relevant policies and procedures.
  • Provide regulatory and compliance training to staff.
  • Assist the business in implementing and documenting supervisory and control mechanisms.
  • Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
  • Interact with federal and state regulators.
  • Analyze new regulations and conduct business-based analysis to execute implementation.
  • Provide ongoing reporting to senior management.
  • Develop and deliver proactive strategies and tactics to support compliance and business objectives.
Requirements:
  • Approximately 5-7 years of securities advisory experience, with knowledge of MSRB rules.
  • Significant experience in providing legal, regulatory, or compliance advice relating to MSRB.
  • Strong knowledge of applicable securities laws, rules, and regulations, with the ability to assess firm impact, specifically MSRB, FED, FINRA, SEC, CFTC, NYSE, and OCC.
  • Excellent oral and written communication skills.
  • Ability to make, support, and defend difficult and complex regulatory and compliance decisions in a fast-paced and high-pressure 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 and 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.