TD Securities
Manager, Compliance - Trade Surveillance
TD Securities is looking for Vice President candidates for the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and Commodities, Equities Options and Futures.
Work Location New York, New York, United States of America
Hours 40 hours per week
Line Of Business Compliance
Pay Detail $140,000 - $180,000 USD
Job Description The VP Compliance TDS oversees and leads a team of specialists, offering advice, guidance and expertise on regulatory requirements and assists business units to manage 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.
Protect the interests of the organization – identify and manage risks, and elevate non‑standard, high‑risk activities as needed.
Conduct reporting and meaningful analysis at the functional or enterprise level to draw conclusions, recommend actions, and assess program effectiveness.
Monitor service, productivity, and assess efficiency levels within own function and implement continuous process improvements where opportunities exist.
Acquire and apply expertise in the discipline, and provide guidance and direction to others.
Identify, recommend, and 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 aligned with risk appetite.
Stakeholder
Familiarize with key stakeholders, including front‑office teams and support functions such as Technology and Operations.
Build relationships with the Compliance Advisory team by collaborating on regulatory requests and alert escalations.
Coordinate requests to and from business (Compliance) partners and track and report on compliance initiatives and programs.
Prepare summaries, communications, reports and presentations for management, regulators and other stakeholders.
Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve them.
Employee / Team
Participate fully as a member of the team, supporting a positive work environment that promotes service, quality, innovation and teamwork, and ensuring timely communication and/or escalation of issues.
Network with colleagues in Global Surveillance and wider Compliance teams and showcase presence.
Provide coverage to other colleagues for surveillance modules during cross‑training sessions.
Volunteer to present cases/escalations during monthly meetings and members should participate in discussion.
Gain an understanding of new trade surveillance modules and tools.
Keep current on emerging trends, develop knowledge of the business, tools and techniques.
Keep others informed about status and progress of projects and relevant day‑to‑day information.
Contribute to the team by assisting others in completing tasks; provide training, coaching and guidance as appropriate.
Support a fair, positive and equitable environment that values diversity.
Act as a brand ambassador for the business area/function and the bank both internally and externally.
Depth & Scope
Works independently and accounts for managing a specialized compliance area, leads a team of specialists.
Subject‑matter expert for a functional area.
Key contact for business management, regulators and auditors, dealing with non‑routine information.
Focuses on short‑to‑mid term planning (e.g., 6‑12 months).
Manages regulatory reviews, inquiries, audits and examinations.
Education & Experience
Bachelor’s degree or progressive work experience.
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.
Climbing – Never.
Reaching overhead – Never.
Reaching forward – Occasional.
Pushing – Never.
Pulling – Never.
Twisting – Never.
Concentrating for long periods – Continuous.
Applying common sense for standardized situations – Continuous.
Reading, writing and comprehending instructions – Continuous.
Adding, subtracting, multiplying and dividing – Continuous.
Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients. With more than 6,500 professionals operating out of 40 cities worldwide, 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 solutions.
Equal Opportunity Employer 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.
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Legal
Industries Investment Banking
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Work Location New York, New York, United States of America
Hours 40 hours per week
Line Of Business Compliance
Pay Detail $140,000 - $180,000 USD
Job Description The VP Compliance TDS oversees and leads a team of specialists, offering advice, guidance and expertise on regulatory requirements and assists business units to manage 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.
Protect the interests of the organization – identify and manage risks, and elevate non‑standard, high‑risk activities as needed.
Conduct reporting and meaningful analysis at the functional or enterprise level to draw conclusions, recommend actions, and assess program effectiveness.
Monitor service, productivity, and assess efficiency levels within own function and implement continuous process improvements where opportunities exist.
Acquire and apply expertise in the discipline, and provide guidance and direction to others.
Identify, recommend, and 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 aligned with risk appetite.
Stakeholder
Familiarize with key stakeholders, including front‑office teams and support functions such as Technology and Operations.
Build relationships with the Compliance Advisory team by collaborating on regulatory requests and alert escalations.
Coordinate requests to and from business (Compliance) partners and track and report on compliance initiatives and programs.
Prepare summaries, communications, reports and presentations for management, regulators and other stakeholders.
Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve them.
Employee / Team
Participate fully as a member of the team, supporting a positive work environment that promotes service, quality, innovation and teamwork, and ensuring timely communication and/or escalation of issues.
Network with colleagues in Global Surveillance and wider Compliance teams and showcase presence.
Provide coverage to other colleagues for surveillance modules during cross‑training sessions.
Volunteer to present cases/escalations during monthly meetings and members should participate in discussion.
Gain an understanding of new trade surveillance modules and tools.
Keep current on emerging trends, develop knowledge of the business, tools and techniques.
Keep others informed about status and progress of projects and relevant day‑to‑day information.
Contribute to the team by assisting others in completing tasks; provide training, coaching and guidance as appropriate.
Support a fair, positive and equitable environment that values diversity.
Act as a brand ambassador for the business area/function and the bank both internally and externally.
Depth & Scope
Works independently and accounts for managing a specialized compliance area, leads a team of specialists.
Subject‑matter expert for a functional area.
Key contact for business management, regulators and auditors, dealing with non‑routine information.
Focuses on short‑to‑mid term planning (e.g., 6‑12 months).
Manages regulatory reviews, inquiries, audits and examinations.
Education & Experience
Bachelor’s degree or progressive work experience.
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.
Climbing – Never.
Reaching overhead – Never.
Reaching forward – Occasional.
Pushing – Never.
Pulling – Never.
Twisting – Never.
Concentrating for long periods – Continuous.
Applying common sense for standardized situations – Continuous.
Reading, writing and comprehending instructions – Continuous.
Adding, subtracting, multiplying and dividing – Continuous.
Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients. With more than 6,500 professionals operating out of 40 cities worldwide, 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 solutions.
Equal Opportunity Employer 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.
Seniority level Mid‑Senior level
Employment type Full‑time
Job function Legal
Industries Investment Banking
#J-18808-Ljbffr