Senior Manager, Compliance Governance & Surveillance (2309)
Application deadline: December 6, 2024 (5 days remaining to apply)
Location: Toronto, Ontario, Canada
Working hours: 37.5
Sector: Compliance
Salary details: $108,800 - $163,200 CAD
TD is committed to offering fair and equitable compensation to all colleagues. Opportunities for growth and skill development are key aspects of the colleague experience at TD. Our policies and practices are designed to enable colleagues to progress along the salary scale as they improve in their roles.
Job Description:
Department Overview
The Compliance Department is responsible for identifying and preventing violations of regulatory requirements by employees and clients through:
- Conducting surveillance for cash and derivatives products such as listed equities, options, futures, fixed income, FX, and rates.
- Providing training and education to TDS businesses.
- Liaising with regulators and internal auditors.
- Promoting a compliance culture within the firm.
- Implementing preventative measures to ensure regulatory compliance.
- Reviewing new business opportunities from a compliance surveillance perspective.
This role focuses on institutional exchange-traded products, fixed income, FX, rates, and derivatives sales and trading in Canada, involving surveillance reviews and quality assurance of alerts.
Job Responsibilities
- Lead a team of compliance professionals conducting surveillance reviews for market abuse and misconduct.
- Foster a culture of excellence within the Compliance Surveillance team.
- Build strong relationships with regional and global compliance teams.
- Assess impacts of new regulations on trade and communication surveillance.
- Participate in surveillance modernization projects.
- Perform gap analyses and control reviews annually.
- Remediate gaps and collaborate with technology and stakeholders.
- Manage compliance oversight and escalation within Canada and regions served by the team.
- Communicate and escalate issues to relevant teams.
- Conduct quarterly quality assurance reviews.
- Use QAR findings for team training and process improvements.
- Lead global surveillance meetings and forums.
- Engage in risk assessment and remediation with regional teams.
- Oversee surveillance procedures and calibration processes.
- Support regulatory reviews and monitor trends for surveillance enhancements.
- Coordinate with Technology and Risk Management to meet standards.
- Assist in policy, procedure, and training development for compliance.
Proficiency and Skills
- Knowledge of market rules (UMIR, SEC, CFTC, FINRA, etc.).
- Understanding of operational risk management principles.
- Knowledge of OTC products and market structures.
- Minimum 10 years in compliance surveillance in capital markets.
- Leadership experience in surveillance teams.
- Experience with global and systemic banks preferred.
- Regulator experience is highly desirable.
- Strong independent working, critical thinking, and decision-making skills.
- Excellent communication skills.
- Ability to manage multiple priorities and confidentiality.
- Canadian Securities Courses (CSI) certifications preferred.
Additional Qualifications
- Ability to interpret laws and regulations in operational contexts.
- Adaptability to evolving markets and regulatory expectations.
- Leadership skills and ability to work independently.
- Advanced degrees, statistical, CFA, CPH, or trader training are desirable but not mandatory.
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