Description : Head of Exchange Traded Products Surveillance (Director) 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 Head of Exchange Traded Products Surveillance, TDS reports to the US Head of Surveillance for TD Securities (US).
Exchange traded products (ETPs) generally includes those products traded on a SEC-registered National Securities Exchanges (i.e., listed options and equities), SEC registered Alternative Trading Systems, and CFTC-registered Designated Contract Market (i.e., exchange-traded futures).
The Head of ETP Surveillance will be responsible for managing, maintaining and enhancing the TD Securities' current trade surveillance program for ETPs within the Global Compliance Department.
The Head of ETP 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 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.
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