Lead Information Barrier Surveillance Analyst

TD Bank Group; New York (NY); On-site; USD 150,000 - 180,000; Full time

Job summary

TD Bank Group in New York is seeking a senior Compliance professional to lead trade surveillance activities and support regulatory requests within Global Surveillance. You will analyze alerts, assess potential violations and coordinate responses with regulators and internal partners.

The role requires strong analytical judgment, knowledge of regulatory requirements, and the ability to collaborate across Finance, Legal, Technology and Operations to manage risk and maintain compliant processes.

Responsibilities

• 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

Job description

TD Bank Group in New York is seeking a senior Compliance professional to lead trade surveillance activities and support regulatory requests within Global Surveillance. You will analyze alerts, assess potential violations and coordinate responses with regulators and internal partners.

The role requires strong analytical judgment, knowledge of regulatory requirements, and the ability to collaborate across Finance, Legal, Technology and Operations to manage risk and maintain compliant processes.