Associate Vice President, Compliance, TD Securities Trade Surveillance (Canada)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$160,000 - $200,000 CAD

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.

Job Details:

The AVP, Head of Compliance, Canada Trade Surveillance (TD Securities) reports to the Vice President and Global Head of Surveillance for TD Securities and to the Chief Compliance Officer for TD Securities.

Individual Accountabilities:

• 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.

• As a leader of change and a culture-carrier for excellence and continuous improvement, lead reviews of the current program and work with key stakeholders (Advisory Compliance, Technology, and 1LoD business and risk and control partners) to enhance the program consistent with regulatory expectations (e.g., CIRO).
• Lead, develop and grow the current team through a period of change and growth in the Compliance Surveillance program,
• Assist with responses to regulatory enquiries or investigations or consultations regarding market abuse, disorderly trading, insider trading pertaining to TDS business
• Execute mandate in accordance with TD Global Compliance Department Mandate and the Regulatory Compliance Management Program
• Lead 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 surveillance procedures to ensure compliance oversight align with Compliance departmental expectations including documenting detailed review procedures and ensuring high quality analyst review (and related documentation) of sophisticated trade surveillance technology.
• Lead the regional implementation of the global strategy and roadmap for the development and enhancement of the surveillance platforms.

• Lead the US team in performing calibration and tuning of surveillance, and quality assurance of alerts reviewed by analysts.
• Create strategic focus and actively manage Trade Surveillance systems, policies, and procedures to produce a more effective program on a sustained basis.
• Lead and collaborate with business group teams, including the US comms surveillance team 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.

Experience, Education and Skills:
• University degree required: Post Graduate degree preferred
• Minimum of 10 years brokerage compliance, first line or risk and controls experiences in Markets at a top-tier bank, operating surveillance (trade monitoring and oversight).

• Experience working at a Canadian Regulator such as CIRO in market surveillance is highly desirable.
• CFA, CSC, CPH & Traders Training Course preferred.
• Deep understanding of Canadian laws, rules, and regulations related to markets, as well as 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

Who We Are:

TD 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 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 a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. 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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet