AVP, Regulatory Issues Management, Governance and Control, TD Securities (US)

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.

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.

• 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

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.

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.