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Vice President, Compliance Specialist

2 months ago

Avenue, Maryland, United States TD Bank Full time
Job Summary

We are seeking a highly skilled Compliance professional to join our Control Room team in New York. This is a hybrid in-office/work from home opportunity that requires a strong understanding of regulatory requirements and a proven ability to work well on teams.

Key Responsibilities
  • Maintain the Firm's watch and restricted list on a regular basis.
  • Monitor interactions and communications between Research and Investment Banking.
  • Handle regulatory inquiries and conflict management.
  • Participate in regulatory exams and internal auditors.
  • Provide advice and guidance to business partners and make sound business decisions meeting clients' needs.
Requirements and Qualifications
  • Bachelor's degree and 5-7+ years relevant experience.
  • Research clearance against Investment Banking transactions required.
  • A working knowledge of applicable FINRA rules, SEC rules and relevant industry standards.
  • Excellent verbal and written communication skills and strong professional demeanor.
  • Proven ability to work well on teams, showing initiative, a positive attitude, and a willingness to work hard independently as well.
  • High level of ethical standards, integrity, and judgement.
  • Organized, self-motivated, detail and deadline oriented.
  • Ability to understand and analyze compliance issues and commercially provide effective tactical and strategic solutions.
  • Securities licenses preferred but not required.
  • Willing to work flexible hours in hybrid in-office/work from home model and occasional weekends.
  • Highly proficient in Microsoft Office, including the ability to work comfortably within Excel.
  • Series 7 and 24 strongly preferred.
About the Role

The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

What We Offer

We offer a competitive salary range of $140,000 - $190,000 USD, as well as a comprehensive benefits package, including health and well-being benefits, savings and retirement programs, paid time off, and career development opportunities.

How to Apply

If you are a motivated and experienced Compliance professional looking for a new challenge, please submit your application, including your resume and a cover letter, to our online portal.