Overview
This job description covers the role of Head of Exchange Traded Products Surveillance (Director) within Global Compliance.
It includes department context, job details, accountabilities, depth & scope, education & experience, and information about TD's values and total rewards.
Job Details
The Head of Exchange Traded Products Surveillance (ETP Surveillance) will report to the US Head of Surveillance for TD Securities (US).
ETPs include products traded on SEC-registered exchanges, SEC-registered Alternative Trading Systems, and CFTC-registered Designated Contract Markets.
The role involves managing, maintaining and enhancing the current trade surveillance program for ETPs, building and leading a team of trade-surveillance analysts based in New York, and covering activity through TD Securities via the Markets division.
Department Overview
The Global Compliance Department oversees regulatory compliance across TD Bank Group (TD).
It develops and maintains compliance programs, disseminates regulatory developments, maintains compliance policies, manages complaints and filings, provides training, conducts independent monitoring and oversight, reports to the Board and senior management, and offers regulatory advice and support.
The Global Surveillance Team conducts surveillance of communications and trading related to market manipulation, collusion and other prohibited practices.
Individual Accountabilities
The Director, Compliance TDS oversees/ leads a team of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assists business units to manage regulatory risk.
Depth & Scope
Accountable for a significant area(s) / broad business units of Compliance with enterprise-wide impact or accountability.
Position interacts with senior/executive management.
Serves as a key contact for business management, regulators and auditors on a broad range of issues including non-routine information.
Focuses on longer-range planning for the functional area (e.g., 12 months or greater).
Manages and prioritizes multiple projects concurrently.
Education & Experience
Bachelor's degree or progressive work experience.
7–10 years related experience.
Who We Are
TD is a leading global financial institution and one of the largest banks in North America.
We serve over 27 million households and businesses worldwide, with more than 95,000 TD colleagues.
We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is committed to customer experience.
We support colleagues with regular leadership and development conversations, mentorship and training, and opportunities for growth within the organization.
Our Total Rewards Package
Our Total Rewards package includes base salary and additional plans such as health and well-being benefits, paid time off, career development, and reward and recognition programs.
Additional Information
We're happy you're considering a career with TD.
Through regular development conversations, training programs, and competitive benefits, we support colleagues to thrive at work and at home.
Colleague Development
We offer career pathways and opportunities to build skills through regular development conversations, access to online learning, and mentoring programs to help you achieve goals.
Training & Onboarding
We provide training and onboarding sessions to help you succeed in your new role.
Interview Process
We will reach out to candidates of interest to schedule interviews and strive to communicate outcomes to all applicants by email or phone.
Accommodation
If you require accommodation for the recruitment or interview process (including accessible formats or facilities), please let us know and we will work with you to meet your needs.
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