VP Compliance - Trade Surveillance, Fixed Income

Work Location

New York, New York, United States of America

40

Compliance

$140,000 - $180,000 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  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.

Preferred Qualifications:

The TD Securities US Compliance team is looking for a Vice President candidate to join the trade surveillance team, specializing in and possessing broad knowledge in Fixed Income, Commodities, Options and Futures products.

The VP Compliance role oversees a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escape issues where appropriate
• Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
• Protect the interests of the organization – identify and manage risks, and escape non-standard, high-risk activities as necessary
• Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
• Monitor service, productivity and assess efficiency levels within own function and implement continuous 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
• 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 in alignment with risk appetite

• Familiarize with key stakeholders including the front 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

• 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 presence
• Provide coverage to other colleagues for surveillance modules covered during cross training sessions
• Volunteer to present cases/escalations during monthly meeting
• Gain an understanding of new trade surveillance modules and surveillance tools
• Keep current on emerging trends/ developments and enhance knowledge of the business, related tools and techniques
• Keep others informed and up to date about the status / progress of projects and / or all relevant or useful information related 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 equitable environment that supports a diverse workforce
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

• Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
• Subject matter expert for fixed income and commodities products
• Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
• Focus on short to mid- range planning (e.g. 6-12 months)
• Manages regulatory reviews including inquiries, audits, and exams

• Bachelor's degree or progressive work experience
• 6-9 Years of related…