Manager, Global Control Room (Electronic Communications) (4538)

Manage the electronic communications program in compliance with regulatory standards.,Act as the main point of contact for e-communication surveillance for the Global Control Room.,Monitor and evaluate business activities between Equity Research and Investment Banking to ensure independence and recommend program enhancements.,Design risk-based ad-hoc monitoring activities for banking product transactions and potential conflicts.,Assist in developing the compliance testing program with operational procedures aligned with internal TD policies and industry best practices.,Maintain and enhance policies and procedures within the group.,Provide guidance, advice, and rule interpretation to the business lines and leaders.,Provide education on regulatory and internal policy to TD Securities management and staff.,Identify compliance-related issues and escalate to business unit management for resolution.,Identify compliance requirements from legislation, policies, by-laws, and rulings related to securities distribution.,Respond to inquiries from regulators.,Projects as assigned within the broader Global Control Room.,Foster a cooperative working relationship with business unit partners and key regulatory groups.,Participate in industry forums and committees where applicable.

Undergraduate degree required.,5-10 years of experience in Surveillance in Communications.,Experience in surveillance at a peer firm or regulator is preferred.,Minimum 7 years compliance/industry experience in a senior position within a bank owned dealer.,Thorough knowledge of the securities industry and operations of the capital markets.

University degree

Flexibility to work different shifts to cover for other coworkers, where necessary.