Director - Regulatory Management & Remediation

Work Location:
New York, New York, United States of America

Hours:
40

Line of Business:
TD Securities

Pay Detail:
$190,000 - $225,000 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:

Preferred Qualifications:

The TD Securities U.S. Regulatory Management & Remediation team is responsible for the planning, execution and delivery of key regulatory initiatives for our US Wholesale business, building foundational capabilities across our teams and providing strategic oversight into remediation approach and execution.

The team partners closely with senior leaders across all three Lines of Business including Risk, Legal, HR, Compliance, and Audit in close alignment with our TDGUS and CUSO operations and governance forums to ensure alignment with integrated remediation activities to our regulators and within our risk appetite.

Role Overview

The Director, Project Management will lead complex, high‑visibility regulatory and capital markets initiatives across the organization. This role requires strong front‑to‑back ownership of a portfolio of work, from regulatory interpretation and planning through execution, reporting, and sustainable remediation. The Director will partner closely with business, risk, compliance, technology, and senior leadership to drive outcomes in a fast‑paced and highly regulated environment.

Key Responsibilities

Program & Project Leadership

• Provide end‑to‑end leadership of regulatory and capital markets initiatives, ensuring timely and effective delivery against regulatory commitments, supervisory expectations, and internal milestones.
• Lead multiple concurrent workstreams, proactively managing dependencies, risks, issues, and escalation paths.
• Translate regulatory requirements into clear, executable plans and measurable outcomes.
• Provide metrics and reporting for senior stakeholders.
• Prioritize and meet deadlines.

• Lead efforts related to inquiries and ongoing supervisory engagement, including audit remediation preparation, issue management, and overall remediation tracking.
• Apply strong capital markets knowledge (e.g., trading, markets operations, risk, and controls) to assess impacts, design solutions, and challenge stakeholders where appropriate.
• Ensure deliverables meet regulatory expectations for accuracy, completeness, and sustainability.

• Serve as a trusted partner to senior stakeholders across the first, second, and third lines of defense.
• "Connect the dots" across initiatives, teams, and data points to drive alignment and avoid fragmentation.
• Influence without authority, driving accountability across diverse stakeholder groups.

• Design and deliver concise, senior‑level reporting tailored to different audiences, including executive leadership and regulators.
• Synthesize complex information into clear narratives that support decision‑making.
• Maintain accurate project artifacts, including plans, RAID logs, and status updates.
• Provide detailed reporting for annual reports and workplan submissions.

• Demonstrate strong attention to detail while maintaining a strategic, outcome‑oriented perspective.
• Set high standards for execution, ensuring deadlines are met and priorities are managed effectively.
• Mentor junior staff and contribute to a culture of accountability, ownership, and continuous improvement.

• 10+ years of experience in project management, regulatory management, remediation, or related roles within financial services.
• Strong experience working with regulators, regulatory exams, consent orders, or supervisory remediation activities.
• Solid understanding of capital markets businesses and supporting functions.
• Demonstrated ability to lead complex initiatives across multiple stakeholders and functions.
• Proven track record of producing high‑quality executive and regulatory reporting.
• Exceptional organizational, prioritization, and communication skills.
• Bachelor's degree required; advanced degree or professional certifications (e.g., PMP) a plus.

• Ensures end-to-end delivery of projects
• Works in close partnership with all project stakeholders to align plans, timelines, expectations and deliverables to meet project's objectives
• Uses negotiation and influencing skills to build consensus amongst diverse stakeholder groups to ensure project deliverables are met
• Ensures projects are delivered based on agreed scope, agreed timeline and approved budget
• Manages resolution of issues and risks effectively and if required ensures timely escalation of the issues and risks
• Communicates effectively project status communication to stakeholders
• Manages project financials and benefits realization
• Creates and maintains comprehensive project management artifacts as required by project governance standards
• Considered as a subject matter expert on practices, procedures and principles of project management
• Manages projects through Project Management Life Cycle including Planning, Execution, Control and Closure of projects
• Manages / oversees testing deliverables for the project including: testing strategies, planning, preparation and execution activities, review and sign-off of testing documentation

• Bachelor's Degree or Equivalent
• 7+ Years of Prior Experience
• Outstanding record of project management success preferably in Capital Markets, both in results achieved and in use of professional methodology especially using Agile approach
• Strong project management skills and demonstrated experience
• Solid organizational skills including attention to detail and multi-tasking skills
• Excellent written and verbal communication skills
• Pro-active in developing and implementing strategies that significantly mitigate risk