AVP, Regulatory Issues Management, Governance and Control, TD Securities

Work Location:

Hours:

Line of Business:

Pay Details:

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

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 a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. 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 both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):