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AVP, Compliance, Trade Surveillance and Communications, TDS

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TD Bank

Oct 10

  • Job
    Full-time
    Expert Level
  • Government & Politics
    Legal
  • Toronto
  • Quick Apply

AI generated summary

  • You need a graduate degree, 10+ years in compliance or risk, CFA/CSC preferred, strong communication and leadership skills, strategic thinking, relationship building, and problem-solving abilities.
  • You will lead compliance oversight, enhance surveillance programs, manage communications systems, coordinate regulatory responses, and foster a strong risk culture, while developing and mentoring your team.

Requirements

  • University degree required: Post Graduate degree preferred
  • Minimum of 10 years brokerage compliance, 1B or risk controls experiences.
  • CFA, CSC, CPH & Traders Training Course preferred.
  • Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
  • Highest personal and professional integrity and standards to advance TD's vision and protect the brand
  • Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills
  • Ability to work in a fast-paced environment and manage multiple priorities
  • People leadership and management experience focused on talent development and coaching to nurture a high performing team
  • Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
  • Strategic thinker; has excellent judgment, achieves the right risk/reward balance
  • Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
  • Transparent communicator and respected TD representative, both internally and externally
  • Models TD's executive leadership profile: skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams
  • Advances TD's leadership development, colleague experience & diversity agenda
  • Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities
  • Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote
  • Demonstrates strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
  • Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience
  • Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

Responsibilities

  • Lead a team of compliance professionals responsible for overseeing, reviewing and enhancing the surveillance program for the market abuse and electronic communications for their respective regional lines of TD Securities (TDS), TD Cowen and TBSM.
  • Assisting with responses to regulatory enquiries or investigations or consultations regarding market abuse, disorderly trading, insider dealing pertaining to TDS business
  • Execute mandate in accordance with TD Global Compliance Department Mandate and the Regulatory Compliance Management Program
  • Lead the global quarterly meetings with all the regional compliance teams by sharing and discussing key risks and trends identified through surveillance.
  • Assist in maintaining, designing and creating supervisory reviews to ensure compliance oversight align with business strategies and documenting detailed review procedures using sophisticated surveillance technology.
  • Lead the regional implementation of the global strategy and roadmap for the development and enhancement of the surveillance platforms
  • Create strategic focus and actively manage Communications and Trade Surveillance systems, policies, and procedures to produce a more effective program on a sustained basis.
  • Lead and collaborate with business group teams to periodically assess alerting policies, configurations, lexicons to drive surveillance enhancements.
  • Coordinate and participate in vendor/client roundtable forums and industry conferences/events focused on surveillance.
  • Lead the documentation and enhancement of policies and procedures to ensure the program is suitably documented and evidenced.
  • Set "tone at the top" in support of a strong risk & compliance culture within Compliance and across the enterprise.
  • With business and other Risk partners promote a strong governance & control environment with periodic assessments against industry practices
  • With Risk, ensure that the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is being effectively mitigated, assessed, and managed.
  • Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance and the QM and QAR teams.
  • Builds positive, diverse, and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.
  • Attracts, develops, retains talent, and maintains an active talent pipeline.

FAQs

What is the work location for this position?

The work location for this position is Canada.

What are the working hours for the AVP, Compliance, Trade Surveillance and Communications role?

The working hours for this role are 37.5 hours per week.

Who does the AVP, Compliance report to?

The AVP, Compliance reports to the TDBG VP, Compliance Trade Surveillance.

What are the key responsibilities of this role?

Key responsibilities include leading a team that oversees and enhances the surveillance program, assisting with regulatory enquiries and investigations, executing compliance mandates, and collaborating with regional compliance teams.

What qualifications are required for this position?

A university degree is required, with a postgraduate degree preferred, along with a minimum of 10 years of brokerage compliance, risk controls, or related experiences.

Are there any preferred credentials for candidates?

Yes, candidates with CFA, CSC, CPH, or Traders Training Course certifications are preferred.

What skills are necessary for this role?

Strong verbal and written communication skills, people leadership, strategic thinking, problem-solving abilities, and the capacity to operate in a matrixed environment are necessary.

How does TD support employee development in this role?

TD supports employee development through regular leadership and development conversations, mentorship programs, training sessions, and access to an online learning platform.

What kind of workplace culture does the team promote?

The team promotes a positive, diverse, and open work environment focused on efficiency, knowledge sharing, and encouraging high performance.

How often does the team assess compliance risks and trends?

The team conducts global quarterly meetings with regional compliance teams to share and discuss key risks and trends identified through surveillance.

Is a background in risk management important for this position?

Yes, familiarity with regulations, compliance strategies, and risk management is essential for this role.

What is the Total Rewards package offered by TD?

The Total Rewards package includes a base salary, variable compensation, health and well-being benefits, savings and retirement programs, and career development support.

Will training and onboarding be provided for new hires?

Yes, training and onboarding sessions will be provided to ensure success in the new role.

Does TD offer support for accessibility during the interview process?

Yes, TD offers accommodations such as accessible meeting rooms and captioning for virtual interviews to support candidates during the interview process.

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TD Bank

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen

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