VP, Compliance - Trade Surveillance, Communications

Work Location: reputed company, reputed company, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $150,000 - $180,000 USD TD is committed to providing fair and reputed company compensation opportunities to reputed company colleagues. Growth opportunities and reputed company development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to reputed company through the salary range over time as they reputed company in their role. The reputed company pay actually offered may vary based upon the candidate's skills and experience, job-reputed company knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation reputed company questions and have an open reputed company with your recruiter who can provide you more specific details for this role. Job Description: The TD Securities US Compliance team is looking for 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 reputed company matters of confidentiality; escalate issues where appropriate Be knowledgeable of practices and procedures reputed company own area of responsibility and reputed company abreast of emerging trends for own functional area Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk activities as necessary Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, reputed company recommendations, assess the effectiveness of programs/ policies/ practices Monitor service, productivity and assess efficiency levels reputed company own function and implement reputed company process / 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/procedures and applicable regulatory guidelines reputed company 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 reputed company 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 reputed company 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 reputed company an understanding of new communications surveillance modules and surveillance tools reputed company reputed company on emerging trends/ developments and enhance knowledge of the business, reputed company tools and techniques. reputed company others informed and up to date about the status / reputed company of projects and / or reputed company relevant or useful information reputed company 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 reputed company 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 law, rules and regulations and/or firm policies Familiarize with the emerging trends pertaining to regulatory changes and remain updated on trends reputed company to communications surveillance (e.g., market abuse, regulatory expectations, etc). Proactively identify matters requiring additional review and reputed company to escalate to Surveillance Management and Advisory Compliance partners reputed company a thorough understanding of multiple market manipulation surveillance patterns and continuously look for efficiencies and enhancements to the work Identify the gaps and improvements such as how the surveillance patterns can be enhanced or calibrated more effectively Update the 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 reputed company exceptions that required further investigation Execute on more reputed company and non-standard requests and escalations Engage in consultation for calibration and bringing reputed company or reputed company of concept that can improve the reviews Support audit reputed company 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 the 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 reputed company 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 reputed company 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 reputed company experience Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; reputed company: 67-100% Domestic Travel – Occasional International Travel – Never Performing sedentary work – reputed company Performing multiple tasks – reputed company Operating standard office equipment - reputed company Responding quickly to sounds – Occasional Sitting – reputed company 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 reputed company – Occasional Pushing – Never Pulling – Never Twisting – Never Concentrating for long periods of time – reputed company Applying common sense to deal with problems involving standardized situations – reputed company Reading, writing and comprehending instructions – reputed company Adding, subtracting, multiplying and dividing – reputed company 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 reputed company responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for reputed company purposes. 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 strive to reputed company every interaction, product and experience remarkably human and refreshingly simple. Our services include reputed company 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, reputed company investment bank. Together, we are reimagining what banking can be for our clients, colleagues and communities. Our Total Rewards Package Our Total Rewards package reflects the investments we reputed company in our colleagues to help them and their families reputed company their financial, physical and mental well-being goals. Total Rewards at TD includes reputed company 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, reputed company 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 reputed company 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. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and reputed company a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to reputed company your career goals. Here at TD, we hire and reputed company the best. 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 reputed company out to candidates of interest to schedule an interview. We do our best to communicate outcomes to reputed company applicants by email or phone call. Accommodation reputed company is an equal opportunity employer. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, 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 reputed company US Workplace Accommodations Program at [email protected]. Include your full name, best way to reputed company you and the accommodation needed to assist you with the applicant process. US Labor & Employment Posters | California Privacy | Accessibility | FAQ Our Values At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we reputed company you to reputed company an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture. Our Commitment to Diversity, Equity, and Inclusion At TD, we’re committed to fostering an environment where reputed company colleagues are encouraged to bring their authentic selves to work, experience reputed company opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. Helping to reputed company an Impact in Communities – TD Ready Commitment TD has a long-standing commitment to help drive reputed company towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial reputed company, Vibrant reputed company, Connected Communities, and reputed company. It’s our goal to help support change, nurture reputed company, and contribute to making the world a reputed company, more inclusive reputed company for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific Apply tot his job Apply To this Job