Hiring: Vice President, Compliance - Monitoring & Testing, TD Securities (US) Company: TD Location: New York, NY Job Posted Time: 2026-09-12 13:44:49 Target Skills & Keywords : Capital Markets, Derivatives, Equities, Microsoft Excel, Microsoft PowerPoint, Project Management About the job Experience: •5-7 Years of related experience Required Skills: •Develop and design annual and cycle-based Compliance Testing and Monitoring plans •Execute the annual Compliance Testing plan. •Determine test scopes, and design and develop effective test strategies and approaches. •Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards. •Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings. •Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge. •Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews. •Oversee remediation of gaps identified in the Testing or Monitoring activities. Qualifications: •7+ years of experience with a registered US broker dealer, regulator, or global financial organization. •JD degree desirable but not required. •Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. •Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. •Excellent interpersonal, organizational, leadership and communication (oral and written) skills. •Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. •Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues. •Advanced project management skills and ability to manage multiple work streams involving different partners and groups, with limited oversight and direction. •Demonstrated capacity to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time. •Demonstrated capacity to interact effectively with all levels of the organization and to work collaboratively on teams of varying size. Compensation: •$150,000 - $180,000 / year •Competitive benefits and rewards package •Equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!