Senior Information Barrier Surveillance Lead

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

Job summary

TD Securities is seeking a senior-level Compliance professional to lead trade surveillance programs and ensure adherence to US market regulations. The role emphasizes cross-functional collaboration with Advisory Compliance, Trading desks and Technology, and involvement in regulatory inquiries and audits.

The candidate will leverage extensive surveillance experience, including Information Barrier surveillance, to oversee risk, maintain controls, and drive continuous improvements within a dynamic,

Qualifications

• Undergraduate degree required.
• 5+ years of experience in trade surveillance, with focus on Information Barrier Surveillance preferred.
• Knowledge of US markets and regulations; ability to interact with regulators and auditors.
• Relevant professional designations such as FINRA Certified Compliance Officer Program are a plus.

Responsibilities

• Lead and manage trade surveillance reviews and regulatory inquiries.
• Collaborate with Advisory Compliance, Trading desks and Technology.
• Provide documentation and subject matter expertise for audits.
• Coach and mentor junior team members.

Skills

Trade surveillance

Information barrier surveillance

Regulatory knowledge

Stakeholder collaboration

Education

Bachelor's degree or equivalent

Job description

TD Securities is seeking a senior-level Compliance professional to lead trade surveillance programs and ensure adherence to US market regulations. The role emphasizes cross-functional collaboration with Advisory Compliance, Trading desks and Technology, and involvement in regulatory inquiries and audits.

The candidate will leverage extensive surveillance experience, including Information Barrier surveillance, to oversee risk, maintain controls, and drive continuous improvements within a dynamic,