Compliance Manager, Trade Surveillance - Portfolio Management & Surveillance Initiatives - TD Securities (US)

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Job Description:

The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program including identifying emerging risks regulatory developments related to surveillance maintaining Compliance Surveillance departmental procedures providing relevant training for Surveillance conducting quality assurance of alert disposition reporting on the state of Surveillance program to the Board senior management and regulators as needed and effective check and challenge.

Reporting to the Head of Surveillance Initiatives and Portfolio Management the new hire will be responsible for working with the team lead and key stakeholders to: maintain TDS compliance surveillance framework; manage large surveillance projects (e.g. remediation implementing new surveillance tools); prepare status on projects and the state of the surveillance program; and ensure that the Surveillance program is robust adaptive and aligned with global regulatory expectations. The ideal candidate will possess a strong compliance acumen leadership qualities and the ability to drive strategic initiatives in a complex regulatory environment. This position will focus on the trade surveillance portfolio and related initiatives.

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 Responsibilities:

• Reporting: With the Head of Surveillance Initiatives and Portfolio Management and key stakeholders: assist with leading surveillance oversight /governance committees for Trade Surveillance; report on the status of surveillance remediation and modernization initiatives; and enhance and streamline TDS Surveillances current reporting across regional committees and boards (e.g. surveillance metrics operational issues and related reporting). Provide the leadership team with relevant Management Information reporting and support to ensure surveillance operational issues (e.g. vendor issues and surveillance outages) are appropriately managed addressed tracked and reported on in governance.

• Surveillance Portfolio Management: Work with the Head of Surveillance Initiatives and Portfolio Management DDI technology and key stakeholders (e.g. Trade Surveillance Leads and Chief Compliance Officers) to develop clear deliverables milestone and project plans for regulatory initiatives new surveillance deployments and surveillance enhancements.

• Issues Management: Track and manage Regulatory and Audit Findings related to surveillance to ensure that such findings are properly and timely addressed (i.e. assist with overseeing progress of all internal and/or external remediation issues relating to Surveillance with key stakeholders).

• Read Across: Assist with coordinating surveillance read across reviews of internal and external events including root cause analysis identification of themes and emerging risks process improvement. Timely report on findings and/or recommendations for enhancements to the Global Head of Surveillance and Compliance senior management.

• Surveillance Portfolio Management: Work with the Head of Surveillance Initiatives and Portfolio Management DDI technology and key stakeholders (e.g. Trade Surveillance Leads and Chief Compliance Officers globally) to develop clear deliverables milestone and project plans for remediation initiatives new surveillance deployments and surveillance enhancements.

• Surveillance Procedures: Work with the Trade Surveillance leads to ensure that departmental surveillance procedures and timely and accurately updated.

• Regulatory Responses: Work with key stakeholders within Surveillance and Compliance broadly to respond to regulatory inquires requests for data and exam inquiries as they relate to Trade Surveillance.

• Briefings and Presentations: Lead the preparation of summaries presentations briefing notes and other required documentation to effectively report on the status of Surveillance in senior governance and Boards. As needed report in senior governance on the Surveillance program.

• Program Enhancements: Identify and recommend opportunities to enhance productivity effectiveness and operational efficiency across the Global TDS Surveillance function

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.

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 non-routine information

• Focuses on short to mid- range planning (e.g. 6-12 months)

• Manages regulatory reviews including inquiries audits and exams

Preferred Qualifications:

• JD or MBA degree preferred.

• 10 years of relevant industry and management experience in Surveillance preferably focused on Trade Surveillance at a GSIB (Global Systemically Important Bank).

• Experience managing complex regulatory remediation related to Trade Surveillance programs.

• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in surveillance change management project management and operations.

• People leadership and management experience focused on talent development and coaching to nurture a high performing team.

• Highest personal and professional integrity and standards to advance TDs 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

• Ability to operate in an evolving sometimes ambiguous matrixed environment.

• Strategic thinker and excellent judgement.

• Demonstrates ability delivering on project and departmental issues.

• Demonstrated ability to identify regulatory risks and issues and to propose practical solutions to mitigate risk as it relates to compliance surveillance.

• Demonstrated ability to work across teams globally and to build effective working relationships across diverse stakeholder.

• Transparent communicator and respected TD representative both internally and externally.

• 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.

Education & Experience:

• Bachelors degree with progressive work experience

• Minimum 7 Years of related experience (in Compliance)

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. 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 industry-leading insight extending access to global markets and delivering integrated transaction banking 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.

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. 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 well-being 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

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email 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 applicant process.