VP - Regulatory Exam Management

Join the broker-dealer function of one of the largest, fastest growing banks in the US as they expand and better their compliance program rapidly.

Client Details

Client is a global Canadian Bank.

Description

Responsibilities:

• Manage regulatory examinations for wholesale businesses, covering operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for regulator meetings.
• Support TD's ongoing supervision program by organizing quarterly and ad hoc meetings with the Firm's prudential regulators, and handling deep dive meeting requests.
• Provide regular updates to management on ongoing matters, ensuring timely escalation and resolution of potential issues.
• Analyze and summarize documentation and information in response to regulatory requests.
• Maintain extensive communication (both oral and written) to build effective relationships with regulators, and keep relevant business units informed about regulatory issues, findings, and remediation efforts.
• Prepare detailed written responses to regulatory requests and examination reports, collaborating with business units to gather necessary information.
• Identify mitigating facts and circumstances to address issues raised during examinations or other engagements.
• Provide periodic updates on examination status and contribute to internal reporting and tracking related to regulatory findings.
• Implement the issues management process for tracking regulatory findings.
• Assist in the ongoing development and improvement of core compliance processes.
• Participate in enterprise-wide special projects as needed.

Profile

• Bachelor's degree or equivalent progressive work experience.
• 5-7 years of related experience.

• Seven or more years of experience in securities compliance or a related field.
• Juris Doctor (JD) preferred but not required.
• Strong knowledge of operations, finance, regulatory reporting, sales and trading, and relevant rules and regulations, with the ability to quickly learn new areas as needed.
• Excellent interpersonal, organizational, leadership, and communication skills (both oral and written).
• Strong client service orientation, with the ability to partner closely with senior managers, line managers, and other stakeholders, providing advice on regulatory matters.
• Strong analytical skills, attention to detail, sound judgment, and the ability to assess complex regulatory business issues.
• Project management skills, with the ability to manage multiple workstreams involving various partners and groups.
• Ability to thrive in a fast-paced, deadline-driven environment, demonstrating excellent time management and planning abilities while managing multiple assignments simultaneously.
• Capable of interacting effectively with all levels of the organization and collaborating on teams of various sizes.
• Strong relationship-building skills, with the ability to establish, develop, and maintain effective working relationships with regulators, as well as business and functional partners within the firm.
• Proficient in Microsoft Word, Excel, and PowerPoint.

Job Offer

Chance to join a top banking organization during a period of rapid growth of their compliance department.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.