AVP, Regulatory Issues Management, Governance and Control, TD Securities (US)
TD Bank · New York, New York, United States
Work Location:
New York, New York, United States of America
Hours:
40
Line of Business:
Governance & Control
Pay Detail:
$200,000 - $280,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
This role is responsible for leading the global framework, governance, oversight, and reporting of audit, regulatory, and control-related issues across TDS. The role provides enterprise-wide leadership to ensure issues are identified, classified, owned, remediated, escalated, and closed in a timely, transparent, and sustainable manner. Acting as a senior first-line control leader, the role partners closely with business heads, Risk, Compliance, Legal, Internal Audit, Technology, Operations, regional leadership, and regulatory management teams to strengthen remediation discipline, improve issue data quality, prevent repeat findings, and support credible regulatory and senior management reporting. The role has significant visibility with senior executives, governance committees, Board-level forums, and regulators, and is accountable for driving a consistent global approach that reinforces accountability, operational resilience, and a strong risk and control culture.
Depth & Scope:
- Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
- Leads a global first-line function responsible for the governance, oversight, reporting, and escalation of audit, regulatory, self-identified, and control-related issues across TDS
- Establishes and maintains consistent global standards for issue identification, classification, ownership, remediation planning, milestone tracking, evidence quality, validation readiness, escalation, and sustainable closure
- Operates across multiple businesses, regions, legal entities, and regulatory jurisdictions, including close alignment with regional governance teams in the Americas, Europe, and APAC
- Provides senior-level oversight and credible challenge over high-risk, overdue, regulator-sensitive, repeat, systemic, and Board-visible issues
- Influences business heads, regional leadership, Internal Audit, Compliance, Operational Risk, Legal, Technology, Operations, Regulatory Management, and enterprise risk partners to drive timely and sustainable remediation
- Maintains a consolidated global view of issue inventory, remediation status, aging, root causes, repeat findings, data quality, and emerging control themes
- Develops executive-ready reporting and insights for senior management, governance committees, Board-level forums, and regulators
- Supports regulatory transparency by coordinating consistent issue management messaging, evidence packages, remediation updates, and closure readiness across jurisdictions
Education & Experience:
- Undergraduate degree required; advanced degree in Business, Finance, Law, Risk Management, Accounting, Economics, or a related discipline preferred
- 15+ years of progressively senior experience in financial services, preferably within a global investment bank, capital markets business, or large regulated financial institution
- Significant experience in audit, regulatory remediation, issue management, operational risk, compliance, internal controls, governance, or first-line risk and control roles
- Proven track record designing, implementing, or leading enterprise-wide issue management, remediation governance, audit response, or regulatory oversight frameworks
- Deep understanding of the audit lifecycle, regulatory examination process, control remediation, root cause analysis, evidence standards, validation readiness, and sustainable closure expectations
- Experience engaging directly with senior executives, Board-level committees, regulators, Internal Audit, Compliance, Risk, Legal, Technology, Operations, and business leadership
- Demonstrated ability to operate across global businesses, regions, legal entities, and regulatory jurisdictions, with strong awareness of local regulatory expectations and enterprise standards
Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel – Occasional
- International Travel – Never
- Performing sedentary work – Continuous
- Performing multiple tasks – Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds – Occasional
- Sitting – Continuous
- Standing – Occasional
- Walking – Occasional
- Moving safely in confined spaces – Occasional
- Lifting/Carrying (under 25 lbs.) – Occasional
- Lifting/Carrying (over 25 lbs.) – Never
- Squatting – Occasional
- Bending – Occasional
- Kneeling – Never
- Crawling – Never
- Climbing – Never
- Reaching overhead – Never
- Reaching forward – Occasional
- Pushing – Never
- Pulling – Never
- Twisting – Never
- Concentrating for long periods of time – Continuous
- Applying common sense to deal with problems involving standardized situations – Continuous
- Reading, writing and comprehending instructions – Continuous
- Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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 strive to make every interaction, product and experience remarkably human and refreshingly simple. 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.
Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more
Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive bot