Vice President, Legal, TD Securities (Hybrid)

Hours

40

Pay Details

$170,000 – $205,000 annually

Department Overview

Legal Counsel providing advice and support to the wholesale business on a wide range of regulatory matters. The position will provide support to other members of the Legal Group as well as directly to business groups and other support and control functions. The optimal candidate will have a combination of law firm and in-house experience advising financial institution clients.

Job Details

The VP Legal TDS is Corporate Secretary for U.S. wholesale subsidiaries and Secretary for 2 U.S. governance committees. The VP Legal TDS also works with finance and compliance on Federal Reserve and FINRA reporting. This position is also the legal point person for intercompany agreements matters, including research on related regulatory matters and working with business, tax and finance to draft agreements.

Job Requirements

Depth & Scope:

Prepares for and holds periodic board and shareholder meetings

Maintains corporate records

Files annual reports Drafts resolutions and certificates

Prepares powers of attorney for subsidiaries

Responding to third party requests for information

Works with Tax and Finance on qualifications to do business and transactions related to subsidiaries

Responsible for all registered agent related matters

Acts as point of contact for internal audit and other internal groups on matters related to committees

Participates in global meetings monthly to discuss new initiatives coming from Operational Risk Management

Researches bank regulatory matters

Conducts legal research on a variety of legal topics and prepares legal memoranda as required

Provides litigation and legal process support, including with respect to litigation and subpoena tracking, document hold process and management reporting

Circulates notices of settlement for securities litigation for which the firm or its affiliates may have a claim

Qualifications

Education & Experience:

Minimum undergraduate degree in Law

1-3 Years of related experience with consumer protection laws applicable to financial services

Must be eligible for employment under regulatory standards applicable to the position.

Preferred Qualifications:

Qualified to practice law in NY State with a minimum of 3-6 years combined experience in a law firm and/or an investment bank legal department

Willing and ready to develop legal skills and expand knowledge into new substantive areas of law as may arise.

Attentive to detail, with strong organizational, writing, research and communication skills, be able to cross-train and work both independently and collaboratively, and be flexible in adjusting to changing work priorities.

Provide advisory support on bank regulations (Volcker, Bank Holding Company Act, Regulation W, QFC), as well as CFTC and SEC matters, in connection with existing products and new initiatives in commodities, derivatives and other products, primarily fixed income

Advise on swap dealer, security-based swap dealer and broker dealer requirements

Research and provide advice relating to new regulations and regulatory compliance

Company Overview

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 help clients meet their needs today and prepare for tomorrow. 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.

We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day. www.td.com

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the 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 application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.