Senior Compliance Officer, Surveillance

TD•New York, NY

3d•$120,000 - $145,000•Onsite

About The Position

The Global Compliance Surveillance Department oversees regulatory compliance across TDS in accordance with the Global Compliance Operating Framework. It promotes regulatory compliance by developing and maintaining Trade and Communications Surveillance programs, identifying emerging risks and regulatory developments, maintaining departmental procedures, providing relevant training, conducting quality assurance of alert disposition, reporting on the 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 supports delivery and ongoing administration of the Trade and Communications Surveillance portfolio. The role coordinates project and remediation activities, prepares governance reporting, tracks milestones and issues, and works with Surveillance, Compliance, Technology, and other stakeholders to support well-governed surveillance programs. The Associate conducts analysis, coordinates deliverables, maintains documentation, and escalates risks or issues to senior team members. The role supports surveillance oversight and governance, portfolio and issue management, read-across reviews, procedure updates, regulatory responses, briefings and presentations, and program enhancements. It works with guidance to manage assigned tasks and workstreams, develops working knowledge of surveillance requirements, systems, processes, and controls, and supports regulatory reviews, audits, and examinations. The general role description also characterizes the Senior Compliance Officer as an independent senior officer and subject matter expert who provides advice and support to business units on regulatory and compliance requirements and helps implement compliance initiatives to manage regulatory risk.

Requirements

Bachelor's degree in business, finance, risk, compliance, or a related field, or an equivalent combination of education and relevant work experience.
Approximately 4 or more years of relevant experience in Compliance, Surveillance, Risk, Operations, Technology, project coordination, or consulting, including experience at a Big Four firm.
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 ability to coordinate work across multiple stakeholders and priorities.
High personal and professional integrity and standards.
Strong written and verbal communication skills, including the ability to prepare clear, concise, and accurate materials.
Ability to work in a fast-paced, evolving, sometimes ambiguous, matrixed environment and manage multiple priorities.
Sound judgment, attention to detail, and a practical approach to problem-solving.
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.
Ability to work across global teams and build effective relationships with diverse stakeholders.
Clear and transparent communication and ability to represent TD professionally with internal and external stakeholders.
General role description states a bachelor's degree or progressive work experience and 5–7 years of related experience.

Nice To Haves

Trade or Communications Surveillance experience at a financial institution is preferred.

Responsibilities

Coordinate inputs for surveillance oversight and governance reporting; prepare management information and status reports, maintain metrics, document actions, and track operational issues such as vendor incidents and surveillance outages through resolution.
Maintain deliverables, milestones, and project plans for regulatory initiatives, remediation activities, new surveillance deployments, and surveillance enhancements.
Track and coordinate regulatory and audit remediation activities, including status updates, supporting evidence, action follow-ups, and escalation of risks or delays.
Coordinate information gathering and conduct initial analysis of relevant internal and external events; document root causes, themes, emerging risks, and potential process improvements, and support preparation of findings and recommendations.
Support Trade and Communications Surveillance Leads in accurately and promptly reviewing and updating departmental surveillance procedures.
Coordinate information, maintain supporting records, validate submissions, and help prepare responses to regulatory inquiries, data requests, and examinations related to Trade and Communications Surveillance.
Draft and coordinate summaries, presentations, briefing notes, and other materials for senior governance, Board, and regulatory discussions, for review by senior team members.
Identify and contribute ideas to improve productivity, effectiveness, and operational efficiency across the Global TDS Surveillance function.
Collaborate with business, Compliance, Risk, Technology, and other partners to support effective governance and controls, build working relationships, and contribute to shared priorities.
Complete assigned work accurately and on time; identify and promptly escalate potential compliance or operational risks, maintaining awareness of relevant emerging risks, industry trends, and regulatory requirements.
Support regulatory reviews, audits, and examinations through information gathering, documentation, and action tracking.
Provide advice, guidance, and support to business units on regulatory and compliance requirements and assist with compliance initiatives to manage regulatory risk.