Senior Counsel - Regulatory Enforcement & Investigations

About this role

Work Location: New York, New York, United States of America Hours: 40 Pay Details: $160,000 - $264,000 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.

Line of Business: Legal Job Description: TD Legal is dedicated to providing industry-leading advice and counsel to all TD business segments and corporate functions. In this Senior Counsel role, you will join a dynamic and collegial team of professionals at TD Legal, providing advice and supporting a wide range of legal and risk areas across the enterprise. This role will primarily involve advising on legal, regulatory, and investigative matters, including internal investigations, regulatory inquiries, examinations, enforcement matters, and related risk management activities. Responsibilities will include providing legal advice on significant regulatory, compliance, conduct, governance, and reputational risk matters; overseeing internal investigations; managing interactions with regulators and external counsel; and supporting remediation and risk mitigation efforts. This is an opportunity to collaborate with other members of TD Legal, multi-disciplinary teams across the enterprise, including colleagues in compliance, risk management, security, control functions, and business lines, and to help the enterprise meet its legal, regulatory, and governance obligations.

The Senior Counsel - Regulatory Enforcement & Investigations provides oversight, legal advice and support to TD Bank management in Corporate Group Functions and Business Units. Functions as legal expert in one or more defined subject matter areas and/or specific business lines. Provides high level legal advice to specific business area(s), may prepare resolutions, contracts, memoranda to management, litigation documents and forms and participates in major legal actions. Foresees and protects the Company against legal risks.

Depth & Scope: • May manage paralegal and administrative staff, assigning responsibilities and evaluating results

• Provides leadership, coaching, counseling and guidance to staff

• Supervises external counsel providing advice or other legal services of the Company

• Works closely with General Counsel, department attorneys and external legal counsel on specific legal issues related to the Company's business

• Gives practical support and assistance to contemporaries, junior attorneys and staff

• Volunteers expert advice and experience

• Verifies the information has been understood

• Serves in one or more permanent or ad hoc practice groups or cross-practice teams of attorneys and staff

• Assists in the management of expenditures for external counsel

• Advises lines of business on best practices that help minimize legal and litigation risk

• May assist General Counsel in developing and managing departmental budget for both internal and external legal spend

• Anticipates client needs

• Deals with complex legal issues

• Clearly delivers difficult messages without jeopardizing client relationships

• Gives pragmatic legal opinions with reasons and rationale

• Provides advice in ambiguous situations; identifies and prevents future legal risks

• Identifies and takes action on future opportunities

• Resolves most situations where conflicts arise between the needs and desires of specific business units and the interests of the Company without requiring intervention of more senior attorneys

• Demonstrates highest professional ethical and behavioral standards and complies with all applicable Bar Rules and Codes of Professional Responsibility, and corporate ethical and behavioral standards

• Participates in special projects and performs additional duties as required

Education & Experience: • Bachelors degree required

• J.D. from an Accredited Law School required

• 10+ Years of related experience

• Strong knowledge of at least one area of law relating to banking/financial services operations and issues

• Integrity and high moral standards

• Strong negotiation and conflict resolution skills

• Strong legal and analysis skills

• Detail oriented

• Must be able to apply legal knowledge to the business

• Ability to exercise sound judgment

• Strong interpersonal skills

• Excellent oral and written communication skills

• Strong teamwork and client skills

• Highly motivated

• Ability to provide difficult, complex and unwelcomed legal advice credibly and convincingly to management

• Strong technology aptitude including i) proficiency with standard office software and ability to learn and apply new technologies in work environment and ii) capacity to understand current and emerging technologies in the industry and how they affect business objectives

• Ability to identify problems and barriers, and  effectively implement solutions to advance business strategy

• Operates with creativity and innovation; seeks different perspectives and new ideas        

• Ability to work in a fast-paced environment and manage multiple deadlines and priorities

• Understands the value of knowledge management , builds and supports systems and tools that efficiently connect people to the knowledge they need to do their job

In lieu of 10 years experience, willing to consider candidates with 6 - 6+ years experience in Regulatory Enforcement & Investigations

Preferred Qualifications • Law degree from an accred

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