US Head of Foreign Exchange (FX) & Commodities Surveillance (Director)
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About The Position
The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required. Within the Global Compliance Department, the Global Surveillance Team is responsible for conducting surveillance of communications and trading as it relates to market manipulation, collusion and other prohibited trading practices. The US Head of Foreign Exchange (FX) Surveillance, TDS (US) reports to the US Head of Surveillance for TD Securities (US), and will cover the FX business line which includes the trading FX, commodities, and related derivatives. The US Head of FX Surveillance will be responsible for managing, maintaining and enhancing the TD Securities' current trade surveillance program for FX within the Global Compliance Department. The US Head of FX Surveillance will be responsible for building and managing a team of trade-surveillance analysts who will be based in New York and will cover activity through by or through TD Securities (US) via the Markets division.
