US Head of Communications Surveillance (Director)

TD Bank; New York (NY); On-site; USD 150,000 - 300,000; Full time

Job summary

An established industry player seeks a dynamic US Head of Communications Surveillance to lead compliance efforts in New York. This role involves managing a team responsible for monitoring electronic communications, ensuring adherence to regulatory standards, and enhancing surveillance programs. The ideal candidate will possess extensive experience in regulatory compliance and team management. Join a forward-thinking organization that values growth and skill development, offering a competitive rewards package and opportunities for professional advancement. If you are passionate about compliance and want to make a significant impact, this is the perfect opportunity for you.

Benefits

Competitive benefits plan

Training programs

Development conversations

Financial well-being support

Qualifications

• 7-10 years of experience in compliance or related fields.
• Strong understanding of regulatory requirements and risk management.

Responsibilities

• Manage and enhance the electronic communications surveillance program.
• Lead a team of analysts monitoring communications for compliance.

Skills

Regulatory Compliance

Team Management

Surveillance Techniques

Communication Skills

Education

Bachelor's Degree

Job description

Work Location: New York, New York, États-Unis d'Amérique

Hours: 40

Line of Business: Conformité

Pay Detail: $150,000 - $300,000 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.

Job Description:

Department Overview:
The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required. Within the Global Compliance Department, the Global Surveillance Team is responsible for conducting surveillance of communications and trading as it relates to market manipulation, collusion and other prohibited trading practices.

Job Details:
The US Head of Communications Surveillance, TDS (US) reports to the US Head of Surveillance for TD Securities (US). The US Head of Communications Surveillance will be responsible for managing, maintaining and enhancing the TD Securities' current electronic communications surveillance program within the Global Compliance Department. The US Head of Communications Surveillance will be responsible for building and managing a team of Communications Surveillance analysts who will be based in New York and will monitor communications affected by TD Securities Markets employees, clients, and members of the public.

Individual Accountabilities:
The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Depth & Scope

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
• Position deals with senior/executive management.
• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
• Focuses on longer-range planning for functional area (e.g. 12 months or greater).
• Manages and prioritizes multiple projects at a given time.

Education & Experience:

• Bachelors degree or progressive work experience
• 7-10 years related experience

Physical Requirements:

• Domestic Travel: Occasional
• International Travel: Never
• Performing sedentary work: Continuous
• Performing multiple tasks: Continuous
• Operating standard office equipment: Continuous
• Responding quickly to sounds: Occasional
• Sitting: Continuous
• Standing: Occasional
• Walking: Occasional
• Moving safely in confined spaces: Occasional
• Lifting/Carrying (under 25 lbs.): Occasional
• Lifting/Carrying (over 25 lbs.): Never
• Squatting: Occasional
• Bending: Occasional
• Kneeling: Never
• Crawling: Never
• Climbing: Never
• Reaching overhead: Never
• Reaching forward: Occasional
• Pushing: Never
• Pulling: Never
• Twisting: Never
• Concentrating for long periods of time: Continuous
• Applying common sense to deal with problems involving standardized situations: Continuous
• Reading, writing and comprehending instructions: Continuous
• Adding, subtracting, multiplying and dividing: Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at [e-mail] .

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.