TD

Vice President – U.S. Markets Investment Banking Compliance Advisory

NEW YORK, NYPosted 18 days ago

Job summary

  • Job post source

    This job is directly from TD

  • Job overview

    The Vice President – U.S. Markets Investment Banking Compliance Advisory at TD will oversee compliance programs within investment banking, ensuring adherence to regulations and providing strategic guidance.

  • Responsibilities and impact

    Daily tasks include advising on equity and debt offerings, developing compliance programs, monitoring regulatory changes, and managing compliance investigations.

  • Compensation and benefits

    The salary range for this position is $115,000 - $185,000 USD, with additional benefits including health and well-being programs, retirement plans, and career development opportunities.

  • Experience and skills

    Candidates should have 5-7+ years of compliance advisory experience, knowledge of securities laws, and strong communication skills; a JD is a plus.

  • Career development

    TD offers various career paths and development opportunities through regular conversations, training programs, and mentoring.

  • Work environment and culture

    TD is growth-oriented, people-focused, and community-minded, emphasizing colleague development and well-being.

  • Company information

    TD Securities provides capital markets products and services globally, focusing on innovation and client needs, and recently expanded by acquiring Cowen Inc.

  • Team overview

    The role involves leading a specialized compliance team and acting as a key contact for business management and regulators.

  • Job location and travel

    The position is based in New York, New York, with a standard 40-hour work week.

  • Application process

    Candidates will be contacted for interviews, and accommodations are available for applicants with disabilities.

  • Unique job features

    The role offers unique opportunities to influence compliance practices across multiple jurisdictions and engage with industry groups.

Company overview

TD, or Toronto-Dominion Bank, is one of Canada's largest financial institutions, providing a wide range of banking services including personal and commercial banking, wealth management, and insurance. They generate revenue through interest on loans, service fees, and investment products. Founded in 1955 through the merger of the Bank of Toronto and The Dominion Bank, TD has grown significantly, expanding its presence into the United States and other international markets. Notably, TD is known for its strong emphasis on customer service and innovative digital banking solutions.

How to land this job

  • Tailor your resume to emphasize your extensive compliance experience in investment banking, particularly in advisory roles, as this is a key requirement for the Vice President position at TD.

  • Highlight your knowledge of securities laws and regulations, including FED, FINRA, SEC, CFTC, NYSE, and OCC, as this will demonstrate your capability to navigate complex regulatory environments.

  • Showcase your ability to provide strategic advice to front office personnel and your experience in developing compliance programs across multiple jurisdictions.

  • Apply through various platforms, including TD's corporate site and LinkedIn, to maximize your exposure to the hiring team.

  • Connect with professionals in the compliance division at TD on LinkedIn to gain insights about the role and the team culture; potential ice breakers could be discussing recent regulatory changes or expressing interest in their compliance initiatives.

  • Optimize your resume for ATS systems by incorporating relevant keywords from the job description, such as 'compliance advisory,' 'investment banking,' and 'regulatory developments.'

  • Consider utilizing Jennie Johnson's Power Apply feature, which can streamline your application process by managing submissions and optimizing your resume for specific roles at TD.

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