Compliance Governance & Operations Manager

Work Location:

Hours:

Line of Business:

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Trade Surveillance Role – Equities

KEY ACCOUNTABILITIES

SHAREHOLDER

• 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

STAKEHOLDERS

• 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

EMPLOYEE / TEAM

• 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 and team members should participate in the discussion
• 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

BREADTH & DEPTH

• Ensure T+1 timeline for trade surveillance is adhered to, except in any special circumstances
• Analyze alerts and relevant data to determine whether a trade involves violations of law, rules and regulations and/or firm policies
• Familiarize with the emerging trends pertaining to regulatory changes and remain updated on trends related to Equities trade surveillance (e.g., market abuse, regulatory expectations, etc).
• Proactively identify matters requiring additional review and when to escalate to Surveillance Management and Advisory Compliance partners
• Develop a thorough understanding of multiple market manipulation surveillance patterns and continuously look for efficiencies and enhancements to the work
• Identify the gaps and improvements such as how the surveillance patterns can be enhanced or calibrated more effectively
• Update the case management tool for every escalation and follow-up on pending open items on a regular basis, consistent with department procedures and regulatory expectations.
• Coach and educate new joiners to drive compliance training, leveraging various tools such as recent regulatory fines to using complex exceptions that required further investigation
• Execute on more complex and non-standard requests and escalations
• Engage in consultation for calibration and bringing ideas or proof of concept that can improve the reviews

• Support audit related activities by providing documentation and relevant subject matter expertise
• Participate in surveillance projects that are critical to the department and pertaining to Trade Surveillance
• Participate and contribute to Surveillance department meetings, monthly touchpoints, bi-weekly Supervision and Surveillance meetings
• Work closely with the other stakeholders, such as Advisory Compliance, the Trading desks and Technology.
• Provide support in enhancing the surveillance system through the Surveillance departments calibration process, including reviewing alerts, risk scoring of alerts, and possible parameter changes
• Provide support to the regional Compliance teams by ensuring they have all the pertinent information to address their remediation of regulatory risk specific to their region

• Analyze the data source and be able to draw conclusions to meet review requirements
• Understand the trade flow from start to finish, including booking system, files being used for alert generation

EXPERIENCE & EDUCATION

• Undergraduate degree required
• Relevant professional designations such as FINRA Certified Compliance Officer Program
• Basic knowledge of Equities is required
• L10 5+ years of experience surveillance of Equities, Options and Futures preferred

• Surveillance experience at peer firm or regulator is preferred

• Knowledge of the US markets and regulations, particularly in relation to Equities, Options and Futures

Who We Are

TD Securities is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.