Vice President, Regulatory Exam Management, TD Securities

Company: TD Bank
Location: New York
Posted on: May 29, 2025

Job Description:

Vice President, Regulatory Exam Management, TD SecuritiesOverviewThe Vice President of Regulatory Exam Management at TD Securities oversees and leads a team of specialists providing advice and expertise on regulatory requirements, aiding business units in managing regulatory risks.Responsibilities

• Manage regulatory examinations across various business functions and prepare teams for meetings with regulators.
• Support TD's supervision programs by organizing quarterly and ad hoc meetings with regulators.
• Provide management with updates on regulatory matters, including escalation and resolution of issues.
• Analyze and summarize documentation related to regulatory requests.
• Develop relationships with regulators and communicate regulatory issues effectively.
• Prepare responses to regulatory inquiries and examination reports, coordinating with relevant teams.
• Identify facts to rebut issues during examinations and track regulatory findings.
• Contribute to the development of compliance processes and participate in enterprise projects.Requirements

• Bachelor's degree or equivalent experience.
• 5-7 years of related experience, with 7+ years in securities compliance preferred.
• Strong knowledge of securities operations, finance, regulatory reporting, and regulations.
• Excellent interpersonal, organizational, and communication skills.
• Proven ability to manage multiple projects and work under deadlines.
• Proficiency in Word, Excel, and PowerPoint.Additional DetailsThis role is based in New York, NY, with a hybrid work arrangement. The salary range is $135,000 - $190,000 USD, and the role involves occasional domestic travel. TD Securities values diversity, inclusion, and community engagement, offering comprehensive benefits and development opportunities.
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Keywords: TD Bank, New Britain , Vice President, Regulatory Exam Management, TD Securities, Executive , New York, Connecticut