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TD Bank Seeking Regulatory Counsel

Posted on: 6 Feb 2019 493 views
: TD Bank
: JD
: 4

Company Overview

About TD Bank, America’s Most Convenient Bank®

TD Bank, America’s Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth® and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. 

TD Bank, America’s Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol “TD”. To learn more, visit


Department Overview

The Legal Department of TD Bank N.A. is comprised of lawyers and support staff with expertise tailored to deliver integrated legal solutions to our global business units and corporate functions. We are committed to delivering the highest level of expertise, service, responsiveness and flexibility to our clients by:

•Understanding our clients’ business legal and regulatory requirements 
•Anticipating emerging issues and providing flexible responses based on experience 
•Providing advice that protects the Bank’s reputation and mitigates legal risk


Job Description

The Counsel, U.S. Regulatory will be a member of the U.S. Bank Regulatory team reporting to the Senior Counsel. The U.S. Regulatory team provides legal advice and support to TD’s U.S. Corporate and Control functions on prudential bank regulation, applications and approvals, investments, privacy, cybersecurity, AML/OFAC and related regulatory matters.

Under the direction of the senior members of the team, the Counsel level role will provide research and writing and oral summaries and analysis of legal and regulatory issues (including privacy/cybersecurity, AML/ OFAC and various prudential regulatory matters as required) impacting TD’s U.S. IHC, insured depository institutions and operations and will provide updates and analysis on current and emerging regulatory issues. The Counsel will be expected to provide legal and regulatory support on projects and compliance implementation for various business and control functions within the bank, as well as support enterprise-level projects and initiatives.

This is an opportunity for a junior to a mid-level lawyer with strong research, analytical and communication skills to join a high functioning team of experienced regulatory lawyers advising on regulatory matters, particularly those involving privacy/ cybersecurity, AML/OFAC and prudential regulation and supervision. The person filling this role will have strong research, analytical and communication skills.



Working under the direction and supervision of senior lawyers on the team, the Council will:

• Provide advice to key partners, including Compliance, Risk, business lines and other functions in the Bank on routine matters as well as during privacy and cybersecurity events.
• Ensure timely identification, mitigation, resolution and reporting/escalation of existing and emerging legal issues and risks. 
• Provide legal counsel and support to the Bank on examination and supervisory matters. 
• Monitor relevant legislation, regulation, supervisory guidance and assess impact to the Bank and partner with relevant Control Functions and business partners to coordinate Bank responses and/or implementation strategies. 
• Coordinate cross-border legal advice through excellent working relationships with TD legal teams in Canada.
• Works closely with other risk partners and colleagues (including Compliance, Privacy, Anti-Money Laundering, Fraud and Operational Risk) to deliver streamlined and customer-centric advice to the business.
• Provide best-in-class legal recommendations that are integrated with client strategies and objectives and coordinated across all relevant jurisdictions.
• Ensure legal risk is managed in accordance with the TDBG risk appetite and regulatory framework.
• Build and maintain effective working relationships with internal stakeholder groups.
• Contribute to priority bank-wide and Legal Department initiatives, including knowledge management and productivity initiatives.
• Supervises external counsel providing advice or other legal services to the TD.
• Assists in the management and reduction of expenditures for external counsel.



• Bachelor’s degree required
• J.D. from an Accredited law school required
• 4+ years of related regulatory experience at a major law firm, government agency or in-house department of a large financial institution
• Strong legal research and analysis skills
• Excellent oral and written communication skills
• Strong negotiation and conflict resolution skills
• Project management skills and experience a plus
• Financial services industry preferred
• Ability to understand and opine on evolving technologies and the legal issues around same
• Ability to understand and simplify complex regulatory and business issues and work effectively against deadlines
• Willingness to escalate concerns, ask questions and learn from mistakes
• Self-starter who enjoys a collaborative work environment

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