Senior Compliance Officer, Surveillance

TD Bank•New York, NY

1d•Onsite

About The Position

The Senior Compliance Officer, Surveillance supports the delivery and ongoing administration of TD Securities’ Trade and Communications Surveillance portfolio. Reporting to the Head of Surveillance Initiatives and Portfolio Management, the role coordinates project and remediation activities, prepares governance reporting, tracks milestones and issues, and collaborates with Surveillance, Compliance, Technology, and other stakeholders to support effective, well-governed surveillance programs. The position supports assigned initiatives and workstreams through analysis, deliverable coordination, documentation, and escalation of risks or issues to senior team members. The Global Compliance Surveillance Department oversees regulatory compliance across TDS under the Global Compliance Operating Framework. Its work includes developing and maintaining Trade and Communications Surveillance programs, identifying emerging risks and regulatory developments, maintaining procedures, providing training, conducting quality assurance of alert disposition, reporting on the surveillance program to the Board, senior management, and regulators as needed, and providing effective check and challenge. The role works with guidance on assigned tasks and workstreams within established processes and timelines. It develops working knowledge of surveillance requirements, systems, processes, and controls; coordinates with internal stakeholders; supports routine management, regulatory, and audit requests; and helps with regulatory reviews, audits, and examinations through information gathering, documentation, and action tracking. The role operates across short- to mid-range time horizons and supports an effective governance and control environment.

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+ 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 preparing 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.
Demonstrated ability to work across global teams and build effective relationships with diverse stakeholders.
Clear and transparent communication and professional representation of TD with internal and external stakeholders.

Nice To Haves

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

Responsibilities

Coordinate surveillance oversight and governance reporting, including management information, status reports, metrics, action documentation, and tracking 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 the Trade and Communications Surveillance Leads in accurately and promptly reviewing and updating departmental surveillance procedures.
Coordinate information, maintain supporting records, validate submissions, and assist in preparing 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 governance and controls, build working relationships, and contribute to team priorities.
Complete assigned work accurately and on time; maintain risk awareness and promptly escalate potential compliance or operational risks.
Maintain awareness of emerging risks, industry trends, and evolving regulatory requirements relevant to Compliance and Surveillance.
Support regulatory reviews, audits, and examinations through information gathering, documentation, and action tracking.
Contribute to an inclusive work environment through collaboration, knowledge sharing, and continuous improvement.

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
Online learning platform
Mentoring programs
Variable compensation or incentive awards, potentially including cash and/or equity incentive awards