Compliance Officer, Surveillance

Work Location:

Hours:

Line of Business:

Pay Detail:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Preferred Qualifications:

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 comprehensive Trade and Communications Surveillance programs, including identifying emerging risks and 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 the Surveillance program to the Board, senior management, and regulators, as needed, and providing effective check and challenge.

Reporting to the Head of Surveillance Initiatives and Portfolio Management, the Associate will support the delivery and ongoing administration of the Trade and Communications Surveillance portfolio. The role will coordinate project and remediation activities, prepare governance reporting, track key milestones and issues, and work with Surveillance, Compliance, Technology, and other stakeholders to support effective and well-governed surveillance programs.

The Associate supports assigned surveillance initiatives and workstreams by conducting analysis, coordinating deliverables, maintaining documentation, and escalating risks or issues to senior team members.

KEY ACCOUNTABILITIES

SHAREHOLDER

·    Reporting: Support surveillance oversight and governance by coordinating inputs, preparing management information and status reporting, maintaining metrics, documenting actions, and tracking operational issues such as vendor incidents and surveillance outages through resolution.

·    Surveillance Portfolio Management: Support the Head of Surveillance Initiatives and Portfolio Management, Technology, Trade and Communications Surveillance Leads, Chief Compliance Officers, and other stakeholders by maintaining deliverables, milestones, and project plans for regulatory initiatives, remediation activities, new surveillance deployments, and surveillance enhancements.

·    Issues Management: Support the tracking and coordination of regulatory and audit remediation activities, including maintaining status updates, collecting supporting evidence, following up on actions, and escalating risks or delays.

·    Read-Across Reviews: Coordinate information gathering and conduct initial analysis of relevant internal and external events, including documenting root causes, themes, emerging risks, and potential process improvements. Support preparation of findings and recommendations for review by senior team members.

·    Surveillance Procedures: Support the Trade and Communications Surveillance Leads in reviewing and updating departmental surveillance procedures accurately and on a timely basis.

·    Regulatory Responses: Coordinate information, maintain supporting records, validate submissions, and assist with preparing responses to regulatory inquiries, data requests, and examinations related to Trade and Communications Surveillance.

·    Briefings and Presentations: Draft and coordinate summaries, presentations, briefing notes, and other materials for senior governance, Board, and regulatory discussions, subject to review by senior team members.

·    Program Enhancements: Identify and contribute ideas to improve productivity, effectiveness, and operational efficiency across the Global TDS Surveillance function.

STAKEHOLDERS

·    Collaborate with business, Compliance, Risk, Technology, and other partners to support an effective governance and control environment.

·    Build effective working relationships and contribute to team priorities and shared results.

EMPLOYEE / TEAM

·    Demonstrate strong risk awareness and support a culture of compliance, integrity, and accountability.

·    Complete assigned work accurately and on time, and escalate potential compliance or operational risks promptly.

·         Maintain awareness of emerging risks, industry trends, and evolving regulatory requirements relevant to Compliance and Surveillance.

·    Contribute to a positive and inclusive work environment through collaboration, knowledge sharing, and continuous improvement.

Depth & Scope:

·    Works with guidance to manage assigned tasks and workstreams within established processes and timelines.

·    Develops working knowledge of Trade and Communications Surveillance requirements, systems, processes, and controls.

·         Coordinates with internal stakeholders and supports responses to routine requests from management, regulators, and internal or external auditors.

·    Plans and prioritizes assigned work over short- to mid-range time horizons.

·         Supports regulatory reviews, audits, and examinations through information gathering, documentation, and action tracking.

Education & Experience:

·    Bachelor's degree in business, finance, risk, compliance, or a related field.

·    Approximately 4+ years of relevant experience in Compliance, Surveillance, Risk, Operations, Technology, project coordination, or consulting, including experience at a Big Four firm; Trade or Communications Surveillance experience at a financial institution is preferred.

·    Experience supporting projects, remediation activities, or control initiatives related to Trade or Communications Surveillance in a regulated environment.

·    Familiarity with compliance, risk management, surveillance, change management, project management, or operational processes.

·    Strong organizational skills and the ability to coordinate work across multiple stakeholders and priorities.

·    Highest personal and professional integrity and standards to advance TD's vision and protect the brand.

·    Strong written and verbal communication skills, with the ability to prepare clear, concise, and accurate materials.

·         Ability to work in a fast-paced environment and manage multiple priorities.

·    Ability to operate in an evolving, sometimes ambiguous, matrixed environment.

·    Sound judgment, attention to detail, and a practical approach to problem-solving.

·         Demonstrated ability to deliver assigned project and departmental work accurately and on time.

·    Ability to identify potential risks or issues, conduct initial analysis, and escalate matters with practical options for consideration.

·         Demonstrated ability to work across global teams and build effective relationships with diverse stakeholders.

·         Clear and transparent communicator who represents TD professionally with internal and external stakeholders.

·         Bachelor's degree or equivalent combination of education and relevant work experience.

*General Job Description:

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.

Depth & Scope:

• Works independently as the senior officer and may coach and educate others
• Individual contributor role providing specialized expertise or may lead a small team of specialists
• Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators
• Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information
• Provides day to day interaction and support to Management
• Oversees/executes and/or performs tasks from end to end
• Focuses on short to mid-term issues (e.g. monthly-quarterly)

Education & Experience:

• Bachelors degree or progressive work experience
• 5-7 Years of related 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 strive to make every interaction, product and experience remarkably human and refreshingly simple.  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. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
 

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

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected].  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.