Manager, Compliance - Trade Surveillance
Description
The TD Securities US Compliance team seeks a Vice President for its trade surveillance team, focusing on Fixed Income Products, Foreign Exchange, Commodities, Equities Options, and Futures. The role involves leading specialists, providing regulatory advice, and assisting business units in managing their regulatory risk.
What We're Looking For
Manage confidential information and escalate issues as appropriate.,Stay updated on industry practices, procedures, and emerging trends.,Identify and manage risks, escalating high-risk activities to protect organizational interests.,Conduct reporting and analysis to inform recommendations and assess program effectiveness.,Monitor productivity and efficiency, implementing continuous improvements.,Provide guidance and expertise to others within the discipline.,Adhere to internal policies, procedures, and regulatory guidelines.,Keep abreast of evolving regulatory requirements and assess their potential impact.,Maintain a strong culture of risk management and control.,Build relationships with front office teams, Technology, Operations, and Compliance Advisory.,Coordinate regulatory requests and track Compliance initiatives.,Prepare communications, reports, and presentations for stakeholders and regulators.,Proactively identify and resolve matters requiring additional review or escalation.,Contribute to a positive team environment through collaboration and timely communication.,Network with Global Surveillance and broader Compliance teams.,Provide coverage and cross-training for surveillance modules.,Present cases and participate in team discussions.,Develop understanding of new trade surveillance modules and tools.,Inform colleagues about project status and daily activities.,Assist and provide training, coaching, or guidance to team members.,Foster a fair, positive, and equitable work environment.,Act as a brand ambassador for the bank.,Work independently, managing a specialized compliance area and leading a team of specialists.,Serve as a subject matter expert for the functional area.,Be a key contact for business management, regulators, and auditors for non-routine matters.,Manage regulatory reviews, including inquiries, audits, and exams.
Ideal Candidate
Bachelor's degree or progressive work experience.,5-7 Years of related experience.
Minimum Education
Bachelor's Degree
Hard Skills
Soft Skills
Work Hours
40 hours/week
Benefits
Special Commitments
Must be willing to travel (occasionally domestic).
About the Company
The Toronto-Dominion Bank
The Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group, one of the largest banks in North America. TD provides a wide range of personal, commercial, and investment banking products and services to over 27 million customers globally. Headquartered in Toronto, Canada, the bank operates through key segments including Canadian Retail, U.S. Retail, and Wholesale Banking.
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