Compliance Officer, Communications Trade Surveillance

TD Bank Group; New York (NY); On-site; USD 120,000 - 145,000; Full time

Job summary

TD Bank Group’s TD Securities US Compliance team is seeking an Associate-level candidate to join the Trade Surveillance group focused on Communications in New York.

You will manage confidential information, stay current with regulatory changes, conduct analyses, and escalate high‑risk matters to support risk management. Collaborating with front office, technology, and operations, you’ll prepare summaries and reports for management and regulators, with pay between $120,000 and $145,000 USD.

Responsibilities

• Consistently exercise discretion in managing correspondence, information, and all matters of confidentiality; escape issues where appropriate
• Be knowledgeable of practices and procedures within the area of responsibility and keep abreast of emerging trends for own functional area
• Protect the interests of the organization - identify and manage risks, elevate 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, and assess the effectiveness of programs, policies, and 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 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 and Control Room by working closely with them on regulatory requests and alert escalations
• Coordinate requests to and from business (Compliance) partners and coordinate tracking and reporting on Compliance initiatives and programs
• Prepare summaries, communications, reports, and presentations for management, regulators, and other internal and external stakeholders
• Proactively identify matters requiring additional review or escalation and liaise with appropriate staff to resolve, as appropriate
• Participate fully as a team member, support a positive work environment that promotes service, quality, innovation, and teamwork and ensure timely communication and escalation of issues
• Network with colleagues in Global Surveillance and the wider Compliance teams and maintain a visible presence
• Provide coverage to other colleagues for surveillance modules covered during cross-training session
• Volunteer to present cases/escalations during monthly meetings and team members should participate in the discussion
• Gain an understanding of new communications surveillance modules and surveillance tools
• Keep current on emerging trends/developments and enhance knowledge of the business, related tools, and techniques
• Keep others informed 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 the business area/function and the bank, both internally and/or externally

Job description

Work Location : New York, New York, United States of America

Hours: 40

Line of Business: Compliance

Pay Detail: $120,000 - $145,000 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

The TD Securities US Compliance team is looking for an Associate-level candidate to join the Trade Surveillance team focused on Communications.

Key Accountabilities

• Consistently exercise discretion in managing correspondence, information, and all matters of confidentiality; escape issues where appropriate
• Be knowledgeable of practices and procedures within the area of responsibility and keep abreast of emerging trends for own functional area
• Protect the interests of the organization - identify and manage risks, elevate 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, and assess the effectiveness of programs, policies, and 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 aligned with risk appetite.

Stakeholders

• Familiarize with key stakeholders including front office teams, and support functions such as Technology and Operations
• Build relationships with the Compliance Advisory team and Control Room by working closely with them on regulatory requests and alert escalations
• Coordinate requests to and from business (Compliance) partners and coordinate tracking and reporting on Compliance initiatives and programs
• Prepare summaries, communications, reports, and presentations for management, regulators, and other internal and external stakeholders
• Proactively identify matters requiring additional review or escalation and liaise with appropriate staff to resolve, as appropriate

Employee/Team

• Participate fully as a team member, support a positive work environment that promotes service, quality, innovation, and teamwork and ensure timely communication and escalation of issues
• Network with colleagues in Global Surveillance and the wider Compliance teams and maintain a visible presence
• Provide coverage to other colleagues for surveillance modules covered during cross-training session
• Volunteer to present cases/escalations during monthly meetings and team members should participate in the discussion
• Gain an understanding of new communications surveillance modules and surveillance tools
• Keep current on emerging trends/developments and enhance knowledge of the business, related tools, and techniques
• Keep others informed 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 the business area/function and the bank, both internally and/or externally