VP Compliance - Trade Surveillance, Fixed Income

TD • New York, NY

1d • $140,000 - $180,000 • Onsite

About The Position

The TD Securities US Compliance team is looking for a Vice President candidate to join the trade surveillance team, specializing in and possessing broad knowledge in Fixed Income, Commodities, Options and Futures products. The VP Compliance role oversees a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Requirements

• Bachelor's degree or progressive work experience
• 6-9 Years of related experience in Fixed Income markets

Nice To Haves

• Broad knowledge in Fixed Income, Commodities, Options and Futures products

Responsibilities

• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
• Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk activities as necessary
• Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
• Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exist
• Acquire and apply expertise in the discipline, provide guidance and direction to others
• Identify, recommend and effectively execute standard practices applicable to the discipline
• Adhere to internal policies/procedures and applicable regulatory guidelines
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations
• Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations
• Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs
• Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
• Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate
• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication and/or escalation of issues
• Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence
• Provide coverage to other colleagues for surveillance modules covered during cross training sessions
• Volunteer to present cases/escalations during monthly meeting
• Gain an understanding of new trade surveillance modules and surveillance tools
• Keep current on emerging trends/ developments and enhance knowledge of the business, related tools and techniques
• Keep others informed and up to date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally
• Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
• Subject matter expert for fixed income and commodities products
• Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
• Focus on short to mid- range planning (e.g. 6-12 months)
• Manages regulatory reviews including inquiries, audits, and exams

Benefits

• Base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in 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
• Regular development conversations
• Training programs
• Competitive benefits plan
• Online learning platform
• Mentoring programs

What This Job Offers

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