Manager, Compliance - Trade Surveillance

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.

New York, New York, United States of America

40 hours per week

Compliance

$140,000 - $180,000 USD

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.

• 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.

• 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.

• 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.

• 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.

• Bachelor’s degree or progressive work experience.
• 5‑7 years of related experience.

• 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 –…