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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.

Job Details:

The Head of Compliance, Trade Surveillance and Communications, TDS (US) reports to the TDBG Managing Director and Global Head of Surveillance for TD Securities.

Individual Accountabilities:

• As a leader of change and a culture-carrier for excellence and continuous improvement, lead the US review of the current program and work with key stakeholders (Advisory Compliance, Technology, and 1LoD business and risk and control partners) to enhance the program consistent with regulatory expectations (e.g., Federal Reserve, OCC, FINRA, SEC, CFTC and US securities and futures exchanges, such as Nasdaq, NYSE, CBOE and CME).

• Lead, develop and grow the current team through a period of change and growth in the Compliance Surveillance program,

• Assisting with responses to regulatory enquiries or investigations or consultations regarding market abuse, disorderly trading, insider trading pertaining to TDS business
• Execute mandate in accordance with TD Global Compliance Department Mandate and the Regulatory Compliance Management Program
• Lead global quarterly meetings with all the regional compliance teams by sharing and discussing key risks and trends identified through surveillance.
• Assist in maintaining, designing and creating surveillance procedures to ensure compliance oversight align with Compliance departmental expectation including documenting detailed review procedures and ensuring high quality analyst review (and related documentation) of sophisticated surveillance technology (Trade and Comms)
• Lead the regional implementation of the global strategy and roadmap for the development and enhancement of the surveillance platforms

• Lead the US team in performing calibration and tuning of surveillance, and quality assurance of alerts reviewed by analysts.
• Create strategic focus and actively manage Communications and Trade Surveillance systems, policies, and procedures to produce a more effective program on a sustained basis.
• Lead and collaborate with business group teams to periodically assess alerting policies, configurations, lexicons to drive surveillance enhancements.
• Coordinate and participate in vendor/client roundtable forums and industry conferences/events focused on surveillance.
• Lead the documentation and enhancement of policies and procedures to ensure the program is suitably documented and evidenced.

Key Shared Accountabilities:

• Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise.
• With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices
• With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.
• Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance and the QM and QAR teams.
• Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.
• Attracts, develops, retains talent, and maintains an active talent pipeline.

Job Requirements:
• University degree required: Post Graduate degree preferred
• Minimum of 10 years brokerage compliance, first line risk and controls experiences in Markets at a top-tier bank, operating surveillance (trade and comms monitoring and oversight.

• Experience working at an Exchange, FINRA or US regulator in a markets oversight role highly desirable.
• CFA, CSC, CPH & Traders Training Course preferred.
• Deep understanding of US laws, rules and regulations related to markets, as well as and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
• Highest personal and professional integrity and standards to advance TD's vision and protect the brand
• Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills
• Ability to work in a fast-paced environment and manage multiple priorities
• People leadership and management experience focused on talent development and coaching to nurture a high performing team
• Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
• Strategic thinker; has excellent judgment, achieves the right risk/reward balance
• Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
• Transparent communicator and respected TD representative, both internally and externally
• Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams
• Advances TD's leadership development, colleague experience & diversity agenda
• Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities
• Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote
• Demonstrates strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
• Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience
• Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

Note: This is a part of the Compliance LOB (not TDS)

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. Learn more

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 help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

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 USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

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.