Head Of Trade Surveillance
Work Location:
Dublin, Ireland
Hours:
35
Line of Business:
Compliance
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:
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.
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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.
Depth & Scope
- Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
- Position deals with senior/executive management.
- Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
- Focuses on longer-range planning for functional area (e.g. 12 months or greater).
- Manages and prioritizes multiple projects at a given time.
Education & Experience:
- Bachelors degree or progressive work experience
- 7-10 years related experience
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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. 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 deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.
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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
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.
Perks and Benefits
Health and Wellness
Parental Benefits
Work Flexibility
Office Life and Perks
Vacation and Time Off
Financial and Retirement
Professional Development
Diversity and Inclusion