VP Compliance Manager, Trade Surveillance - Portfolio Management & Surveillance Initiatives - TD Securities (US)

VP Compliance Tds

The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments related to surveillance, maintaining Compliance Surveillance departmental procedures, providing relevant training for Surveillance, conducting quality assurance of alert disposition, reporting on the state of Surveillance program to the Board, senior management, and regulators, as needed, and effective check and challenge.

Reporting to the Head of Surveillance Initiatives and Portfolio Management, the new hire will be responsible for working with the team lead and key stakeholders to : maintain TDS' compliance surveillance framework; manage large surveillance projects (e.g., remediation, implementing new surveillance tools); prepare status on projects and the state of the surveillance program; and ensure that the Surveillance program is robust, adaptive, and aligned with global regulatory expectations. The ideal candidate will possess a strong compliance acumen, leadership qualities, and the ability to drive strategic initiatives in a complex regulatory environment. This position will focus on the trade surveillance portfolio and related initiatives.

The VP 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.

Key Responsibilities :

• Reporting : With the Head of Surveillance Initiatives and Portfolio Management and key stakeholders : assist with leading surveillance oversight / governance committees for Trade Surveillance; report on the status of surveillance remediation and modernization initiatives; and enhance and streamline TDS Surveillance's current reporting across regional committees and boards (e.g., surveillance metrics, operational issues, and related reporting). Provide the leadership team with relevant Management Information, reporting, and support to ensure surveillance operational issues (e.g. vendor issues and surveillance outages) are appropriately managed, addressed, tracked and reported on in governance.
• Surveillance Portfolio Management : Work with the Head of Surveillance Initiatives and Portfolio Management, DDI, technology and key stakeholders (e.g., Trade Surveillance Leads, and Chief Compliance Officers) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new surveillance deployments, and surveillance enhancements.
• Issues Management : Track and manage Regulatory and Audit Findings related to surveillance to ensure that such findings are properly and timely addressed (i.e., assist with overseeing progress of all internal and / or external remediation issues relating to Surveillance with key stakeholders).
• Read Across : Assist with coordinating surveillance "read across" reviews of internal and external events, including root cause analysis, identification of themes and emerging risks, process improvement. Timely report on findings and / or recommendations for enhancements, to the Global Head of Surveillance and Compliance senior management.
• Surveillance Portfolio Management : Work with the Head of Surveillance Initiatives and Portfolio Management, DDI, technology and key stakeholders (e.g., Trade Surveillance Leads, and Chief Compliance Officers globally) to develop clear deliverables, milestone, and project plans for remediation initiatives, new surveillance deployments, and surveillance enhancements.
• Surveillance Procedures : Work with the Trade Surveillance leads, to ensure that departmental surveillance procedures and timely and accurately updated.
• Regulatory Responses : Work with key stakeholders within Surveillance and Compliance broadly to respond to regulatory inquires, requests for data, and exam inquiries as they relate to Trade Surveillance.
• Briefings and Presentations : Lead the preparation of summaries, presentations, briefing notes, and other required documentation to effectively report on the status of Surveillance in senior governance and Boards. As needed, report in senior governance on the Surveillance program.
• Program Enhancements : Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across the Global TDS Surveillance function

Key Shared Accountabilities :

Depth & Scope :

Preferred Qualifications :

Education & Experience :

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. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. 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. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

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. Total Rewards at TD includes base salary and variable compensation / incentive awards (e.g., eligibility for cash and / or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

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. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to