0 suggestions are available, use up and down arrow to navigate them
What job do you want?

VP & Director, 1B Compliance Governance Control job in New York at TD Bank

Create Job Alert.

Get similar jobs sent to your email

List of Jobs

Apply to this job.
Think you're the perfect candidate?
VP & Director, 1B Compliance Governance Control at TD Bank

VP & Director, 1B Compliance Governance Control

TD Bank New York, NY (On Site) Full-Time
Company Overview

About TD Bank, America's Most Convenient Bank®

TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing over 9.8 million customers with a full range of retail, small business and commercial banking products and services at more than 1,100 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Auto Finance, a division of TD Bank, N.A., offers vehicle financing and dealer commercial services. TD Bank and its subsidiaries also offer customized private banking and wealth management services through TD Wealth®. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit Find TD Bank on Facebook at and on Twitter at and

TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit

We offer a competitive salary and benefit program, including: comprehensive, affordable health care through medical, dental, and vision coverage; financial security with life and disability insurance; opportunities to save using health savings and flexible spending accounts; retirement benefits to help prepare for the future; paid time off and work/life benefits to maintain a good balance.

Job Description

Within TD Wealth the oversight of controls and the management of regulatory risk exposures for its Global Asset Management operations are managed by the Regulatory & Policy Governance ("RPG") Group within the TD Wealth business, a 1B group, which has its Head Office in Toronto, Canada. In order to perform this function, RPG assesses regulatory rule changes and industry practices, prepares polices, maintains a regulatory rule inventory and in conjunction with Compliance educates the business on regulations and controls, monitors control effectiveness, and act as Centers of Excellence supporting the business to improve its control environment.

This 1B Business Governance Control ("1B") role will support the TD Wealth asset management businesses in the US to achieve sustainable commercial strategies within an appropriate supervisory and governance model that is aligned to TD Bank and TD Wealth's policies, risk appetite and local regulatory requirements.

This role will facilitate the establishment of appropriate governance and control regimes for TD Wealth's US Asset Management Operations (including Epoch Investment Partners ("Epoch")). The role will work closely with the Compliance teams for the US asset managers.

The role will report locally into the President of Epoch and have main to Head Office via the Managing Director, RPG.


* Maintain the regulatory compliance management ("RCM") program for the US Wealth Asset Management Businesses.
* Work with business stakeholders to develop key controls to adhere to regulatory requirements and vet regulatory mapping of policies and procedures and controls ("RCM Rule Mapping").
* Provide effective 1B challenge to ensure the effective design of controls owned by 1A business stakeholders.
* Implement a process to ensure the ongoing accuracy of control descriptions and control owners in the RCM Rule Mapping and related policies and procedures.
* In conjunction with Compliance define a regulatory rule change engagement model and support the businesses on implementation including providing training.
* Be a subject matter expert on interpreting the application of the regulatory requirements (securities, privacy, AML) for the businesses with support from Compliance and Legal.
* Prepare and maintain business compliance policies and procedures and incorporate reviews by multiple stakeholders.
* Assess and address impacts and gaps related to any ongoing business or regulatory changes.
* Work with the business to build out new processes or updates to existing processes to meet securities regulatory requirements and policy requirements.
* Support business on updating procedures for new processes/controls.
* Support governance over business activities by overseeing a sustainable Regulatory Compliance Supervision Framework that includes monitoring and testing that supports effective supervision practices and communication of the business risks, issues, and activities.
* Support the remediation process in collaboration with the businesses when control gaps are identified and work with the business in designing action plans to ensure continuous improvements while embedding a strong control and regulatory environment.
* Participate in change management initiatives as they arise by supporting the business on regulatory analysis and interpretation at both the approval and implementation stages of a change.
* Oversee the operation of effective and efficient processes that are aligned with TD Bank and TD Wealth policies.
* Support a culture of risk management and regulatory rule compliance throughout the businesses, supported by processes in alignment with risk appetite.
* Bring a strong understanding and experience of managing risk and regulatory requirements, challenge to the business and a strong focus on risk and regulatory governance and oversight.
* Protect the businesses interests by keeping abreast of business trends, risks, and control management issues and by maintaining a high level of knowledge of existing and emerging risk issues across the businesses.
* Establish strong relationships and maintain an interaction model with business partners, Compliance, and Legal.

Must be eligible for employment under regulatory standards applicable to the position.


* Previous experience in a 1B role or compliance role within a bank owned asset manager.
* University degree in Business, Finance, or equivalent work experience. CPA is an asset.
* Solid understanding of asset management regulatory rules (securities, privacy, AML).
* Solid understanding of the Asset Management business and market practices.
* Auditing background with experience in designing key controls to meet regulatory requirements.
* Expert knowledge of compliance policies and procedures preparation and regulatory rule interpretation.
* Ability to understand and detect business control issues and assess their impacts on business goals and objectives.
* A proven collaborative approach to problem-solving, decision-making, consensus-building, and communication.
* High degree of organizational awareness, personal initiative with a strong ability to manage productive relationships with business partners and stakeholders.
* Expert communication skills including writing skills.
* Ability to exercise sound judgement in making decisions.
* Ability to work independently and prioritize work while meeting multiple deadlines and are highly motivated.
* Strong organizational skills and attention to detail.
* Expert knowledge of governance, risk and control procedures, strategies & tactics.




At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at [ Email address blocked ] - Click here to apply to VP & Director, 1B Compliance Governance Control . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

Recommended Skills

  • Asset Management
  • Attention To Detail
  • Auditing
  • Change Management
  • Communication
  • Coordinating
Apply to this job.
Think you're the perfect candidate?

Help us improve CareerBuilder by providing feedback about this job:

Job ID: 2425086613

CareerBuilder TIP

For your privacy and protection, when applying to a job online, never give your social security number to a prospective employer, provide credit card or bank account information, or perform any sort of monetary transaction. Learn more.

By applying to a job using CareerBuilder you are agreeing to comply with and be subject to the CareerBuilder Terms and Conditions for use of our website. To use our website, you must agree with the Terms and Conditions and both meet and comply with their provisions.