Director, Compliance – Head of US Surveillance Initiatives and Portfolio Management, TD Securities (US)

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$185,000 - $225,000 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 effective check and challenge.

Job Details:

Reporting to the Global Head of Compliance Surveillance, the new hire will be responsible for: maintaining the 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 Surveillance 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 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 inquiries, 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 le