Vice President – Volcker Rule Compliance

Work Location
:
New York, New York, United States of America

Hours
: 40

Line Of Business
:
Compliance

Pay Detail
: $175,000 - $200,000 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  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.

Preferred Qualifications

This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within U.S. Wholesale Compliance focused on remediation and program development and improvement within TDS.

• Work with stakeholders throughout the Firm to build, maintain and enhance TD's Firm-wide Volcker Rule Compliance program
• Provide stakeholders real-time interpretive guidance on application of Volcker Rule requirements, industry trends, and best practices
• Provide effective second line challenge with respect to TD's Volcker Rule Compliance Program, including performing reviews and developing and implementing monitoring protocols and other second line controls
• Work closely with TD's Volcker Office building strong relationships with stakeholders throughout the Firm including change delivery, project management, regulatory reporting, governance & control, operations, and front office business partners
• Draft interpretive memoranda; maintain relevant policies and procedures, including applicable compliance manuals
• Develop, maintain, and deliver electronic and live Volcker rule compliance trainings
• Assist the business and support functions with implementing and documenting various supervisory control and operational process
• Provide a high level of customer service to our internal clients and stakeholders, acting as a key point of contact for Volcker related internal and external, including regulatory, inquiries
• Participate in internal investigations, draft responses to regulatory examination questions, guide stakeholders through exam-related remediations, and coordinate internal and external audits and management responses as needed
• Participate in special projects as needed

• BA/BS, or a similar degree, required.
• JD desirable but not required.
• Experience as Volcker Rule Compliance Officer at complex financial services institution
• Strong understanding of Volcker Rule and its application across diverse array of businesses and products
• 5-7 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator.
• Candidate will be expected to provide key stakeholders with actionable guidance, advice, implementation support, issue-spotting, and effective challenge in a fast-paced, delivery-oriented, and diverse environment
• 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
• Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus.
• Firm understanding of financial product rules and regulatory landscape
• Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation.
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.
• Strong analytical skills with attention to detail, data evaluation and the ability to comprehend complex compliance related markets issues.
• Self-starter with ability and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations.
• Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills.
• Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus.

• Works…