Head of Compliance, Trade Surveillance and ...

Work Location: New York, New York, United States of America Hours: 40 Line of Business: TD Securities Pay Detail: $160,000 - $220,000 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. Job Description: Department Overview: The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required. Job Details: The Head of Compliance, Trade Surveillance and Communications, TDS (US) reports to the TDBG VP, Compliance Trade Surveillance. Individual Accountabilities: Lead a team of compliance professionals responsible for overseeing, reviewing and enhancing the surveillance program for market abuse and electronic communications for their respective regional lines of TD Securities (TDS), TD Cowen and TBSM. Assist with responses to regulatory enquiries or investigations regarding market abuse, disorderly trading, and insider dealing pertaining to TDS business. Execute mandate in accordance with TD Global Compliance Department Mandate and the Regulatory Compliance Management Program. Lead the global quarterly meetings with all the regional compliance teams by sharing and discussing key risks and trends identified through surveillance. Assist in maintaining, designing and creating supervisory reviews to ensure compliance oversight aligns with business strategies and document detailed review procedures using sophisticated surveillance technology. Lead the regional implementation of the global strategy and roadmap for the development and enhancement of the surveillance platforms. Create strategic focus and actively manage Communications and Trade Surveillance systems, policies, and procedures to produce a more effective program on a sustained basis. Lead and collaborate with business group teams to periodically assess alerting policies, configurations, lexicons to drive surveillance enhancements. Coordinate and participate in vendor/client roundtable forums and industry conferences/events focused on surveillance. Lead the documentation and enhancement of policies and procedures to ensure the program is suitably documented and evidenced. Key Shared Accountabilities: Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise. With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices. With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed. Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance. Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results. Attracts, develops, retains talent, and maintains an active talent pipeline. Job Requirements: University degree required; Post Graduate degree preferred. Minimum of 10 years brokerage compliance, 1B or risk controls experience. CFA, CSC, CPH & Traders Training Course preferred. Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in advisory, policy, change management, project management, and operations. Highest personal and professional integrity and standards to advance TD's vision and protect the brand. Strong verbal and written communication skills, including public speaking/presentation skills and well-developed listening and negotiation skills. Ability to work in a fast-paced environment and manage multiple priorities. People leadership and management experience focused on talent development and coaching to nurture a high performing team. Ability to operate in an evolving, sometimes ambiguous, matrixed environment. Strategic thinker; has excellent judgment, achieves the right risk/reward balance. Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships. Transparent communicator and respected TD representative, both internally and externally. Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and develops leadership teams. Advances TD's leadership development, colleague experience & diversity agenda. Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities. Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote. Demonstrates strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues. Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience. Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels. Note: This is a part of the Compliance LOB (not TDS). Who We Are: 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. Our Total Rewards Package: Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Accommodation: If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. #J-18808-Ljbffr

Created: 2024-10-30