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.
Ce que nous recherchons
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.
Candidat idéal
Bachelor's degree or progressive work experience.,5-7 Years of related experience.
Éducation minimale
Bachelor's Degree
Compétences techniques
Compétences interpersonnelles
Heures de travail
40 hours/week
Avantages
Engagements spéciaux
Must be willing to travel (occasionally domestic).
À propos de l'entreprise
The Toronto-Dominion Bank
La Banque Toronto-Dominion et ses filiales sont collectivement connues sous le nom de Groupe Banque TD, l'une des plus grandes banques en Amérique du Nord. La TD offre une vaste gamme de produits et de services bancaires personnels, commerciaux et d'investissement à plus de 27 millions de clients dans le monde. Basée à Toronto, au Canada, la banque exerce ses activités par l'entremise de secteurs clés, notamment les services de détail au Canada et aux États-Unis, ainsi que les services bancaires de gros.
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