Communications Trade Surveillance Vice President Compliance

Work Location:

Hours:

Line of Business:

Pay Detail:

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 candidates skills and experience jobrelated 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.

Job Description:

The TDS US Compliance team is looking for Vice President to join the trade surveillance team focused on Communications. Preferred 510 years of experience in surveillance in Communications.

The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

KEY ACCOUNTABILITIES

SHAREHOLDER
Consistently exercise discretion in managing correspondence information and all matters of confidentiality; escalate issues where appropriate
Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
Protect the interests of the organization identify and manage risks and escalate nonstandard highrisk activities as necessary
Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions make recommendations assess the effectiveness of programs/ policies/ practices
Monitor service productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exist
Acquire and apply expertise in the discipline provide guidance and direction to others
Identify recommend and effectively execute standard practices applicable to the discipline
Adhere to internal policies/procedures and applicable regulatory guidelines
Keep abreast of emerging issues trends and evolving regulatory requirements and assess potential impacts
Maintain a culture of risk management and control supported by effective processes in alignment with risk appetite

STAKEHOLDERS
Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations
Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations
Coordinate requests to and from business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs
Prepare summaries communications reports and presentations for management regulators and other internal and external stakeholders
Proactively identify matters requiring additional review escalation and liaise with appropriate staff to resolve as appropriate

EMPLOYEE / TEAM
Participate fully as a member of the team support a positive work environment that promotes service to the business quality innovation and teamwork and ensure timely communication and/or escalation of issues
Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence
Provide coverage to other colleagues for surveillance modules covered during cross training sessions
Volunteer to present cases/escalations during monthly meeting and team members should participate in the discussion
Gain an understanding of new communications surveillance modules and surveillance tools
Keep current on emerging trends/ developments and enhance knowledge of the business related tools and techniques.
Keep others informed and up to date about the status / progress of projects and / or all relevant or useful information related to daytoday activities
Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training coaching and/or guidance as appropriate
Contribute to a fair positive and equitable environment that supports a diverse workforce
Act as a brand ambassador for your business area/function and the bank both internally and/or externally
BREADTH & DEPTH
Ensure T1 timeline for communications surveillance is adhered to except in any special circumstances
Analyze alerts and relevant data to determine whether a communication involves violations law rules and regulations and/or firm policies
Familiarize with the emerging trends pertaining to regulatory changes and remain updated on trends related to communications surveillance (e.g. market abuse regulatory expectations etc).
Proactively identify matters requiring additional review and when to escalate to Surveillance Management and Advisory Compliance partners
Develop a thorough understanding of multiple market manipulation surveillance patterns and continuously look for efficiencies and enhancements to the work
Identify the gaps and improvements such as how the surveillance patterns can be enhanced or calibrated more effectively
Update the case management tool for every escalation and followup on pending open items on a regular basis consistent with department procedures and regulatory expectations.
Coach and educate new joiners to drive compliance training leveraging various tools such as recent regulatory fines to using complex exceptions that required further investigation
Execute on more complex and nonstandard requests and escalations
Engage in consultation for calibration and bringing ideas or proof of concept that can improve the reviews
Support audit related activities by providing documentation and relevant subject matter expertise
Participate in surveillance projects that are critical to the department and pertaining to Communications Surveillance
Participate and contribute to Surveillance department meetings monthly touchpoints biweekly Supervision and Surveillance meetings
Work closely with the other stakeholders such as Advisory Compliance the Trading desks and Technology.
Provide support in enhancing the surveillance system through the Surveillance departments calibration process including reviewing alerts risk scoring of alerts and possible parameter changes
Provide support to the regional Compliance teams by ensuring they have all the pertinent information to address their remediation of regulatory risk specific to their region

Depth & Scope:

• Works independently and is accountable for managing a specialized compliance area business or function and leads a team of specialists
• Subject matter expert for a functional area
• Key contact for business management regulators and external/internal auditors dealing with nonroutine information
• Focuses on short to mid range planning (e.g. 612 months)
• Manages regulatory reviews including inquiries audits and exams

Education & Experience:

• Bachelors degree or progressive work experience
• 57 Years of related experience

Physical Requirements:

Never: 0; Occasional: 133; Frequent: 3466; Continuous: 67100

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs. Occasional
• Lifting/Carrying (over 25 lbs. Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading writing and comprehending instructions Continuous
• Adding subtracting multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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 and experience. With more than 6500 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 industryleading 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 highlydiverse equity research franchise while growing our strong diversified investment bank. We are growthoriented peoplefocused and communityminded. As a team we work to deliver value for our clients every day.

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 wellbeing goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g. eligibility for cash and/or equity incentive awards generally through participation in an incentive plan) and several other key plans such as health and wellbeing benefits savings and retirement programs paid time off (including Vacation PTO Flex PTO and Holiday PTO) banking benefits and discounts career development and reward and recognition. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

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 at . Include your full name best way to reach you and the accommodation needed to assist you with the application process.

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.