Senior Compliance Officer, Communications Trade Surveillance

TD•New York, NY

3d•$120,000 - $145,000

About The Position

The TD Securities US Compliance team is seeking an Associate-level candidate 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 in a specialized compliance area and serves as a subject-matter expert, with responsibility for managing regulatory reviews, inquiries, audits, and examinations. The officer conducts communications surveillance reviews for Corporate and Investment Banking, including email, chat, and other approved channels. Reviews focus on information barriers, wall-crossing, appropriate interactions between investment bankers and Equity Research, possible misuse or inappropriate sharing of material nonpublic information, and compliance with requirements concerning restricted-list activity, conflicts of interest, research independence, and public-side/private-side interactions. The role analyzes alerts, identifies and escalates potential violations, updates case-management records, and supports surveillance calibration and system enhancements. The position works closely with Compliance Advisory, Control Room, Trading desks, Technology, Operations, business partners, and regional Compliance teams. It also contributes to audit support, surveillance projects, reporting, training and coaching, and ongoing process improvements. The role is expected to follow the T+1 surveillance timeline except in special circumstances and to keep current with regulatory developments and communications-surveillance trends.

Requirements

Undergraduate or bachelor's degree, or progressive work experience.
5–7 years of related experience, including 5–7 years of Communications Surveillance experience.
Knowledge of Corporate and Investment Banking, U.S. markets, and regulations governing communications by Sales and Trading staff within Markets.
Knowledge of trading in Equities, Options, Futures, Fixed Income products, FX, and Commodities.
Works independently and is accountable for managing a specialized compliance area.
Ability to analyze surveillance alerts and communications, identify potential regulatory or policy violations, and determine when to escalate.
Ability to communicate and collaborate with business partners, Compliance teams, Technology, Operations, management, auditors, and regulators.

Nice To Haves

Surveillance experience at a peer firm or regulator.
Relevant professional designation, such as the FINRA Certified Compliance Officer Program.
Basic knowledge of Equities, Fixed Income, and FX.

Responsibilities

Exercise discretion in handling correspondence, information, and confidential matters, escalating issues where appropriate.
Keep abreast of practices, procedures, emerging trends, and regulatory requirements in the area of responsibility; assess their potential impact.
Identify and manage risks, escalate non-standard or high-risk activities, and support a culture of risk management and control.
Conduct reporting and meaningful analysis, draw conclusions, make recommendations, and assess the effectiveness of programs, policies, and practices.
Monitor service, productivity, and efficiency, and implement continuous process and performance improvements.
Apply expertise in the discipline, provide guidance to others, and execute standard practices while adhering to internal policies and applicable regulations.
Build relationships with front-office teams and support functions, including Technology and Operations, and work closely with Compliance Advisory and Control Room on regulatory requests and alert escalations.
Coordinate requests with business and Compliance partners and track and report on Compliance initiatives and programs.
Prepare summaries, communications, reports, and presentations for management, regulators, and other internal and external stakeholders.
Identify matters requiring additional review or escalation and liaise with appropriate staff to resolve them.
Participate as a team member, support a positive and inclusive work environment, communicate and escalate issues promptly, and provide coverage for colleagues across surveillance modules after cross-training.
Present cases and escalations in team meetings, contribute to discussions and projects, and share relevant updates on work and project progress.
Develop understanding of communications-surveillance modules, tools, business practices, and techniques; train, coach, and guide colleagues as appropriate.
Follow the T+1 timeline for communications surveillance except in special circumstances.
Review communications for Corporate and Investment Banking, including email, chat, and other approved communication channels.
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, including deal information, transaction status, client activity, financial results, and other confidential information.
Evaluate communications for compliance with policies governing restricted-list activity, conflicts of interest, research independence, and public-side/private-side interactions.
Analyze alerts and related data to determine whether communications may violate laws, rules, regulations, or firm policies.
Identify matters for further review and escalate them to Surveillance Management or Advisory Compliance partners as appropriate.
Develop understanding of market-manipulation surveillance patterns and identify opportunities to improve or calibrate them.
Update the case-management tool for every escalation and follow up on pending open items in accordance with department procedures and regulatory expectations.
Handle complex and non-standard requests and escalations; consult on calibration and propose ideas or proofs of concept to improve reviews.
Support audit activities by providing documentation and subject-matter expertise.
Participate in Surveillance projects, department meetings, monthly touchpoints, and biweekly Supervision and Surveillance meetings.
Support surveillance-system enhancements through the calibration process, including reviewing alerts, risk-scoring alerts, and considering parameter changes.
Provide regional Compliance teams with information to support remediation of region-specific regulatory risk.
Manage regulatory reviews, including inquiries, audits, and examinations, and provide specialized expertise to business partners, auditors, and regulators.

Benefits

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 programs
Mentoring programs
Competitive benefits plan
Eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan