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VP, Compliance - Trade Surveillance, Communications
role at
TD Work Location: New York, NY, United States Hours: 40 Line Of Business: Conformité Pay Detail: $150,000 - $180,000 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. Job Description
The TD Securities US Compliance team is looking for a Vice President to join the Trade Surveillance team focused on 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
Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escape issues where appropriate Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for the functional area Protect the interests of the organization – identify and manage risks, and escape non-standard, high-risk 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 and practices Monitor service, productivity and assess efficiency levels within own function and implement continuous process and 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 and 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 Co-ordinate 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 and development and enhance knowledge of the business, related tools and techniques Keep others informed and up to date about the status and progress of projects and / or all relevant or useful information related to day-to-day 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 T+1 timeline for communications surveillance is adhered to, except in any special circumstances Analyze alerts and relevant data to determine whether a communication involves violations of 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 escort 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 gaps and improvements such as how the surveillance patterns can be enhanced or calibrated more effectively Update case management tool for every escalation and follow-up 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 non-standard requests and escalations Engage in consultation for calibration and bring 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, bi-weekly Supervision and Surveillance meetings Work closely with 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 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
Undergraduate degree required 5-10 years of experience in Surveillance in Communications Surveillance experience at peer firm or regulator is preferred Relevant professional designations such as FINRA Certified Compliance Officer Program Basic knowledge of Equities, Fixed Income and FX is required Knowledge of the US markets and regulations of communications by Sales and Trading staff within Markets, as well as trading in Equities, Options, Futures, Fixed Income products and FX and Commodities Education & Experience
Bachelors degree or progressive work experience Minimum 5-7 Years of related experience Physical Requirements
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. Seniority level
Executive Employment type
Full-time Job function
Legal Industries
Banking Referrals increase your chances of interviewing at TD by 2x Get notified about new Vice President Compliance jobs in
New York, NY . 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 USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
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VP, Compliance - Trade Surveillance, Communications
role at
TD Work Location: New York, NY, United States Hours: 40 Line Of Business: Conformité Pay Detail: $150,000 - $180,000 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. Job Description
The TD Securities US Compliance team is looking for a Vice President to join the Trade Surveillance team focused on 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
Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escape issues where appropriate Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for the functional area Protect the interests of the organization – identify and manage risks, and escape non-standard, high-risk 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 and practices Monitor service, productivity and assess efficiency levels within own function and implement continuous process and 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 and 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 Co-ordinate 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 and development and enhance knowledge of the business, related tools and techniques Keep others informed and up to date about the status and progress of projects and / or all relevant or useful information related to day-to-day 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 T+1 timeline for communications surveillance is adhered to, except in any special circumstances Analyze alerts and relevant data to determine whether a communication involves violations of 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 escort 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 gaps and improvements such as how the surveillance patterns can be enhanced or calibrated more effectively Update case management tool for every escalation and follow-up 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 non-standard requests and escalations Engage in consultation for calibration and bring 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, bi-weekly Supervision and Surveillance meetings Work closely with 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 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
Undergraduate degree required 5-10 years of experience in Surveillance in Communications Surveillance experience at peer firm or regulator is preferred Relevant professional designations such as FINRA Certified Compliance Officer Program Basic knowledge of Equities, Fixed Income and FX is required Knowledge of the US markets and regulations of communications by Sales and Trading staff within Markets, as well as trading in Equities, Options, Futures, Fixed Income products and FX and Commodities Education & Experience
Bachelors degree or progressive work experience Minimum 5-7 Years of related experience Physical Requirements
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. Seniority level
Executive Employment type
Full-time Job function
Legal Industries
Banking Referrals increase your chances of interviewing at TD by 2x Get notified about new Vice President Compliance jobs in
New York, NY . 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 USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
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