Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$170,000 - $300,000 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:

Department Overview:
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 and communications 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 and effective check and challenge.

Job Details:

Reporting to the Global Head of Surveillance, the incumbent will be responsible for: maintaining TDS' compliance surveillance framework; leading large surveillance projects (e.g., remediation, implementing new surveillance tools); preparing status on projects and the state of the surveillance program; and broadly ensuring 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.

Key Responsibilities:

Reporting: With the Global Head and key stakeholders: assist with leading surveillance oversight /governance committees for Trade and Communications Surveillance; report on the status of surveillance remediation and modernization initiatives; and enhance and streamline TDS Surveillance's 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, DDI, technology and key stakeholders (e.g., Communications Surveillance Leads, Trade Surveillance Leads, and Chief Compliance Officers globally)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., oversee progress of all internal and/or external audit issues relating to Surveillance with key stakeholders).

Read Across: Coordinate surveillance "read across" reviews of internal and external events, including root cause analysis, identification of themes and emerging risks,, process improvement. Timely reporting 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, DDI, technology and key stakeholders (e.g., Communications Surveillance Leads, 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 and Communications Surveillance leads, to ensure that departmental surveillance procedures and timely and accurately updated.

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

Briefings and Presentations: Prepare summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Surveillance to 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.

Tone at the Top: Work with the Surveillance and Compliance leadership Team to set the Compliance culture, people development, and training.

Talent: Attract, retain and develop a high performing team focused on implementing the above responsibilities

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: JD or MBA preferred.

10+ years of relevant industry and management experience in Compliance and Surveillance

Experience managing complex regulatory remediation.

Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the surveillance y, 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 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

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.

Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams.

Advances TD's leadership development, colleague experience and diversity initiatives,

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

*Hybrid Work Model: 3 days in office, 2 days remote

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 6,500 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 solutions. In 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:
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.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll 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 we’re committed to helping you identify opportunities that support your goals.

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

Interview Process
We’ll 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 USWAPTDO@td.com. 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.