JOB DESCRIPTION

The Vice President supports Volcker Program Governance across TD Securities (Globally) ensuring a strategic, risk-based approach for alignment with Volcker Rule standards.
The position has a high level of direct interaction with stakeholders across various functions including the Business, Risk, Product Control, Technology, and Compliance. This position will require an individual who can collaborate and engage effectively in terms of enhancing Volcker Program procedures, monitoring processes, controls, policies and developing and communicating a project plan/tracker and associated updates to a variety of stakeholders.

JOB ACCOUNTABILITIES

The general accountabilities of this role include but are not limited to the following:

• Build and maintain constructive relationships with 1st and 2nd line partners as well as other key stakeholders to ensure Volcker Program governance delivery requirements are understood and met.
• Contribute to an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct.
• Partner with stakeholders to ensure risks are adequately identified, assessed, and develop risk mitigation strategies to manage current and emerging risk exposures across the Program.
• Accountability to establish, deliver and support Volcker Program governance across TD Securities and other business segments.
• Support the Business in the design, implementation, and sustainment of controls within key processes and procedures.
• Partner with Business to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews.
• Ensuring a coordinated approach with other business areas, the broader organization and enterprise control functions.
• Build and cultivate an environment of innovation that leads to working smarter and simpler.
• Instill an attitude of critical thinking, risk management and understanding the needs of TD Securities colleagues.
• Ability to influence change and develop strong interpersonal relationships with team members and key partners.

JOB REQUIREMENTS

• Understanding of a global markets business in general including some product knowledge.
• Strong compliance and/or risk management assessment background .
• Some level of understanding of the Volcker Rule and its applicability to a global markets business and associated required metrics production and monitoring processes.
• Skillful communicator and influencer to build relationships, advance decision making, and effect change over time.
• Initiative-taking individual with a record of successfully assisting with implementing program enhancements.
• Ability to work with a pool of experts and ensures elevated levels of service even when the effort crosses organizational boundaries.
• Thrives in a challenging environment, managing multiple deadlines and priorities.
• Strategic thinking with solid problem solving and decision-making skills.
• Skilled at “connecting the dots” across issues in support of solutions and development of strategies to effectively manage and mitigate risk.
• Excellent interpersonal skills to effectively interact at all levels of the organization, coupled with a passion to build strong working relationships and contribute to a strong team environment.
• Strong organizational/time management skills.
• Flexibility to quickly adapt to changing requirements and execute on non-routine ad-hoc deliverables.
• A positive “can do” attitude with a curiosity and willingness to learn and grow, as well as share knowledge and experience.
• Proficiency in Microsoft applications (Excel, Word, PowerPoint), and Share Point.

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.

• Build and maintain constructive relationships with 1st and 2nd line partners as well as other key stakeholders to ensure Volcker Program governance delivery requirements are understood and met.
• Contribute to an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct.
• Partner with stakeholders to ensure risks are adequately identified, assessed, and develop risk mitigation strategies to manage current and emerging risk exposures across the Program.
• Accountability to establish, deliver and support Volcker Program governance across TD Securities and other business segments.
• Support the Business in the design, implementation, and sustainment of controls within key processes and procedures.
• Partner with Business to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews.
• Ensuring a coordinated approach with other business areas, the broader organization and enterprise control functions.
• Build and cultivate an environment of innovation that leads to working smarter and simpler.
• Instill an attitude of critical thinking, risk management and understanding the needs of TD Securities colleagues.
• Ability to influence change and develop strong interpersonal relationships with team members and key partners