Senior Compliance Officer, Communications Trade Surveillance

TD Bank • New York, NY

2d • $120,000 - $145,000 • Onsite

About The Position

TD Securities’ U.S. Compliance team is seeking an Associate-level Senior Compliance Officer for its Communications Trade Surveillance team. The role provides advice, guidance, and support to business units on regulatory and compliance requirements and helps implement initiatives to manage regulatory risk. The position works independently as a subject-matter expert in a specialized compliance area, handles work end to end, and may coach and educate colleagues. It is an individual-contributor role, though it may involve leading a small team of specialists. The role focuses on short- to mid-range planning and issues, manages regulatory reviews and inquiries, and serves as a contact for business management, regulators, and internal and external auditors.

The officer performs communications surveillance for Corporate and Investment Banking, reviewing email, chat, and other approved channels. Reviews assess compliance with information-barrier and wall-crossing requirements, research independence, restricted-list activity, conflicts of interest, and appropriate interactions between public- and private-side employees. The officer analyzes alerts and data for potential misuse or inappropriate sharing of material nonpublic or confidential information, escalates concerns, documents cases, and supports surveillance calibration, system enhancements, audits, regulatory requests, and departmental projects. The role works closely with Compliance Advisory, the Control Room, trading desks, Technology, Operations, and regional Compliance teams.

The position is based in New York, New York. The listed schedule is 40 hours. The salary range is $120,000–$145,000 USD. TD describes its Total Rewards package as including base salary and variable compensation or incentive awards, health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition. Training, onboarding, development conversations, an online learning platform, and mentoring programs are also described.

Requirements

• Undergraduate degree or progressive work experience; a bachelor’s degree is specified in the education requirements.
• 5–7 years of related experience.
• Ability to work independently and manage a specialized compliance area.
• Ability to analyze surveillance alerts and communications and identify potential regulatory, policy, and confidentiality concerns.
• Knowledge of Corporate and Investment Banking, U.S. markets, and regulations governing communications by Sales and Trading staff within Markets.
• Basic knowledge of Equities, Fixed Income, and FX.
• Ability to work with relevant internal stakeholders, including Compliance Advisory, the Control Room, trading desks, and Technology.
• Ability to manage escalations, maintain case records, and support regulatory reviews, inquiries, audits, and examinations.

Nice To Haves

• 5–7 years of experience specifically in Communications Surveillance.
• Surveillance experience at a peer firm or regulator.
• Relevant professional designation, such as the FINRA Certified Compliance Officer Program.
• Knowledge of trading in Equities, Options, Futures, Fixed Income products, FX, and Commodities.

Responsibilities

• Review communications for Corporate and Investment Banking, including email, chat, and other approved communication channels, while meeting the T+1 surveillance timeline except in special circumstances.
• Review communications involving Above-the-Wall employees and individuals on deal-specific or other need-to-know lists.
• Assess communications between investment bankers and Equity Research personnel for compliance with information-barrier, wall-crossing, and appropriate-interaction requirements.
• Identify potential misuse or inappropriate sharing of material nonpublic information and other confidential information, including deal information, transaction status, client activity, and financial results.
• Evaluate communications for adherence to policies on restricted-list activity, conflicts of interest, research independence, and interactions between public-side and private-side employees.
• Analyze alerts and relevant data to determine whether communications may violate laws, rules, regulations, or firm policies.
• Identify matters requiring additional review and escalate them to Surveillance Management and Compliance Advisory partners as appropriate.
• Maintain case-management records for escalations and follow up on pending open items in accordance with department procedures and regulatory expectations.
• Develop knowledge of market-manipulation surveillance patterns and identify opportunities to improve or calibrate surveillance patterns and reviews.
• Support the surveillance system calibration process, including alert review, risk scoring, and possible parameter changes.
• Execute complex and non-standard requests and escalations, and contribute ideas or proof of concept for improved reviews during calibration consultations.
• Coach and educate new joiners and support compliance training using relevant tools and examples.
• Support audit-related activities by providing documentation and subject-matter expertise.
• Participate in Communications Surveillance projects, departmental meetings, and recurring supervision and surveillance meetings.
• Work with Compliance Advisory, the Control Room, trading desks, Technology, and other stakeholders; coordinate business-partner requests and track and report on Compliance initiatives and programs.
• Prepare summaries, communications, reports, and presentations for management, regulators, and other internal and external stakeholders.
• Provide relevant information to regional Compliance teams supporting remediation of regional regulatory risks.
• Keep current on regulatory changes, communications-surveillance trends, the business, and related tools and techniques.
• Exercise discretion with confidential information, manage risk, follow internal policies and procedures and regulatory guidelines, and escalate high-risk or non-standard activity.
• Monitor service, productivity, and efficiency, conduct meaningful analysis, and recommend process and performance improvements.
• Contribute to a positive, equitable, and collaborative team environment; communicate work progress, assist colleagues, and provide guidance as appropriate.

Benefits

• Base salary and variable compensation or incentive awards, potentially including cash and/or equity awards through an incentive plan.
• 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.
• Reward and recognition.
• Training and onboarding sessions.
• Access to an online learning platform and mentoring programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior