Director, Compliance Regulatory Initiatives - Policies & Procedures - TD Securities (US) - TD Bank : Job Details

This Director - Compliance role will be a key member of the TDS US Compliance Initiatives Team and U.S. Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within U.S. Wholesale Compliance focused on remediation and program development and improvement within TDS. This Director role will focus on driving compliance-owned remediation initiatives and supporting the strategic establishment of centralized functions. Compliance Regulatory Initiatives Policies & Procedures: Responsible for drafting and maintaining comprehensive suite of regulatory Compliance policies and procedures. Establish governance and reporting for policy and procedure review and approval. Design and maintain policy and procedure portal. Communicate policy and procedure updates to impacted stakeholders, including new hires. Active participation in ongoing remediation efforts in particular with respect to policy, procedure and training related deliverables. Review and/or devel...Director, Regulatory, Compliance, Internal Auditor, Skills, Business, Banking, Business Services