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
Job Requirements
Education & Experience:
- Minimum undergraduate degree in Law
- 1-3 Years of related experience with consumer protection laws applicable to financial services
Additional Requirements
- Must be eligible for employment under regulatory standards applicable to the position.
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.
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
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.
Qualifications
Mandate: 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. Primary responsibilities include:
- 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
- Advising on swap dealer, security-based swap dealer and broker dealer requirements• Research and provide advice relating to new regulations and regulatory compliance
Preferred Qualifications/Competencies/Accreditation: To fulfill the responsibilities of the position, the incumbent must be 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. The candidate should be willing and ready to develop legal skills and expand knowledge into new substantive areas of law as may arise. The candidate will be attentive to detail, have 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.
Work Location: The position is based in New York City, with a hybrid in office/remote work model.