Head of Compliance, Trade Surveillance and Communications, TDS (US)

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$160,000 - $220,000 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 Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.

Job Details:

The Head of Compliance, Trade Surveillance and Communications, TDS (US) reports to the TDBG VP, Compliance Trade Surveillance.

Individual Accountabilities:

•    Lead a team of compliance professionals responsible for overseeing, reviewing and enhancing the surveillance program for the market abuse and electronic communications for their respective regional lines of TD Securities (TDS), TD Cowen and TBSM.
•    Assisting with responses to regulatory enquiries or investigations or consultations regarding market abuse, disorderly trading, insider dealing pertaining to TDS business
•    Execute mandate in accordance with TD Global Compliance Department Mandate and the Regulatory Compliance Management Program
•    Lead the global quarterly meetings with all the regional compliance teams by sharing and discussing key risks and trends identified through surveillance.
•    Assist in maintaining, designing and creating supervisory reviews to ensure compliance oversight align with business strategies and documenting detailed review procedures using sophisticated surveillance technology.
•    Lead the regional implementation of the global strategy and roadmap for the development and enhancement of the surveillance platforms
•    Create strategic focus and actively manage Communications and Trade Surveillance systems, policies, and procedures to produce a more effective program on a sustained basis.
•    Lead and collaborate with business group teams to periodically assess alerting policies, configurations, lexicons to drive surveillance enhancements.
•    Coordinate and participate in vendor/client roundtable forums and industry conferences/events focused on surveillance.
•    Lead the documentation and enhancement of policies and procedures to ensure the program is suitably documented and evidenced.

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 and the QM and QAR teams.
•    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: Post Graduate degree preferred
•    Minimum of 10 years brokerage compliance, 1B or risk controls experiences.
•    CFA, CSC, CPH & Traders Training Course preferred.
•    Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations <