Work Location:

New York, New York, États-Unis d'Amérique

Hours

40

Line Of Business

Conformité

Pay Detail

$150,000 - $300,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description

Department Overview:

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 the market manipulation, collusion and other prohibited trading practices.

Job Details

The US Head of Fixed Income Surveillance, TDS (US) reports to the US Head of Surveillance for TD Securities (US), and will cover the business that trade fixed income products. The US Head of Fixed Income Surveillance will be responsible for managing, maintaining and enhancing the TD Securities' current trade surveillance program for Fixed Income within the Global Compliance Department. The US Head of Fixed Income 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

Individual Accountabilities

The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Depth & Scope

Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
Position deals with senior/executive management.
Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
Focuses on longer-range planning for functional area (e.g. 12 months or greater).
Manages and prioritizes multiple projects at a given time.

Education & Experience

Bachelors degree or progressive work experience
7-10 years related experience

Physical Requirements

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

Domestic Travel: Occasional
International Travel: Never
Performing sedentary work: Continuous
Performing multiple tasks: Continuous
Operating standard office equipment: Continuous
Responding quickly to sounds: Occasional
Sitting: Continuous
Standing: Occasional
Walking: Occasional
Moving safely in confined spaces: Occasional
Lifting/Carrying (under 25 lbs.): Occasional
Lifting/Carrying (over 25 lbs.): Never
Squatting: Occasional
Bending: Occasional
Kneeling: Never
Crawling: Never
Climbing: Never
Reaching overhead: Never
Reaching forward: Occasional
Pushing: Never
Pulling: Never
Twisting: Never
Concentrating for long periods of time: Continuous
Applying common sense to deal with problems involving standardized situations: Continuous
Reading, writing and comprehending instructions: Continuous
Adding, subtracting, multiplying and dividing: Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more

Additional Information

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

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