Director - Regulatory Management & Remediation

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

Hours:
40

Line of Business:
TD Securities

Pay Detail:
$190,000 - $225,000 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 at TD. Our 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.

Job Description:

Preferred Qualifications:

Ready to be the change at TD Securities?
We are an innovator and leader in the change management space. Our legendary customer & colleague experience continues to guide us as we deliver enhanced technology, processes, and capabilities to support our business & stakeholders. Strategic delivery management is a valued and evolving discipline, ready to take the organization and your career to new heights.

Job Description:

The TD Securities U.S. Regulatory Management & Remediation team is responsible for the planning, execution, and delivery of key regulatory initiatives for our US Wholesale business, building foundational capabilities across our teams and providing strategic oversight into remediation approach and execution.

The team partners closely with senior leaders across departments Risk, Legal, HR, Compliance, Audit and will work in close alignment with our TDGUS and CUSO operations and governance forums to ensure alignment with integrated remediation activities to our regulators.

The Senior Manager / Director - Regulatory Management and Remediation Office. This will involve:

• Accountability for leading the end-to-end remediation across all businesses and technology aspects of the project with remediating and integrating an operating model to maximize efficiency, effectiveness and scalability
• Strong regulatory remediation partnership to drive through Internal Audit Validations and Governance standards.
• Responsible aligning all departments on objectives into a shared vision
• Providing leadership to technology and business partners to turn requirements into delivery with analyses and recommendations for solutions that meet business objectives within a timely and cost-effective manner.
• Establishing and managing resource plans, issues, risks, and financial plans to support the roadmap.
• Anticipating issues, trends and the potential impact and timely resolution of impediments, while effectively managing the program schedule (releases) and financials and ensuring continuing review and prioritization.
• Coordinating with the respective enterprise control partners (e.g., EPDE, Strategic Sourcing Group, Legal, TRMIS, OCDO. etc.) to appropriately select, engage and manage external service providers as required
• Staying energized, productive, and focused in the face of challenges, ambiguity, change or strenuous demands.
• Demonstrate ability to consistently apply expert judgment with available information when proposing solutions/recommendations
• Demonstrate ability to formulate cohesive recommendations regarding delivery approaches after consultation with key stakeholder groups on estimated effort, resource availability, cross-program dependencies, and other implementation constraints
• Ability to create and foster a cohesive team and promote a positive work environment for all employees.
• Ability to think strategically and possess strong business acumen
• Proven ability to stay focused under pressure, demonstrating resilience in challenging situations
• Ability to clearly communicate complex financial concepts and garner consensus on implementation methodology from all key stakeholders
• Ability to progress on multiple priorities concurrently while navigating unfamiliar territory and ambiguoevolving circumstances.
• Aptitude for amalgamating and interpreting large volumes of information, identifying key clarifications required, and formulating next steps to proceed.
• Building trust with stakeholder groups and maintain good working relationships with other departments.
• Leading an effective and diverse business team to effectively deliver productivity, quality, and innovation.

Job Requirements :

• Knowledge of project delivery methodologies (including PDLC and TD Agile scaling frameworks)
• Knowledge of risk framework and metrics
• Knowledge of Capital Markets
• Knowledge of regulatory requirements
• Experience in navigating through governance and control standards
• Experience in audit remediations
• Ability to apply industry frameworks and techniques
• Passion to succeed, results-oriented
• Flexible, with an innate ability to "course correct"
• Adaptive communication skills
• Ability to build and motivate teams
• High threshold dealing with ambiguity
• Entrepreneurial mindset
• Drive for continuous improvement
• Ability to influence all parties while driving remediation
• Prior experience with delivering major regulatory programs, audit validation, and/or infrastructure implementations is an asset.
• In-depth familiarity with governance and control, market risk, valuation, data science or accounting concepts obtained through previous experience in a capital markets function.
• High level understanding of financial products and models.

EDUCATION REQUIREMENTS

• University degree or equivalent
• CFA or FRM designation an asset
• Master's Degree in related discipline an asset

The Director, Change Delivery-TDS leads, manages, and supports the end-to-end delivery of projects and major strategic and cross-functional initiatives across the dealers that are high in complexity and major in scope.

Depth & Scope:

• Ensures end-to-end delivery of projects
• Works in close partnership with all project stakeholders to align plans, timelines, expectations and deliverables to meet project's objectives
• Uses negotiation and influencing skills to build consensus amongst diverse stakeholder groups to ensure project deliverables are met
• Ensures projects are delivered based on agreed scope, agreed timeline and approved budget
• Manages resolution of issues and risks effectively and if required ensures timely escalation of the issues and risks
• Communicates effectively project status communication to stakeholders
• Manages project financials and benefits realization
• Creates and maintains comprehensive project management artifacts as required by project governance standards
• Considered as a subject matter expert on practices, procedures and principles of project management
• Manages projects through Project Management Life Cycle including Planning, Execution, Control and Closure of projects
• Manages / oversees testing deliverables for the project including: testing strategies, planning, preparation and execution activities, review and sign-off of testing documentation

Education & Experience:

• Bachelor's Degree or Equivalent
• 7+ Years of Prior Experience
• Outstanding record of project management success preferably in Capital Markets, both in results achieved and in use of professional methodology especially using Agile approach
• Strong project management skills and demonstrated experience
• Solid organizational skills including attention to detail and multi-tasking skills
• Excellent written and verbal communication skills
• Pro-active in developing and implementing strategies that significantly mitigate risk

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.