Compliance Officer, Communications Trade Surveillance

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$120,000 - $145,000 USD

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:

Preferred Qualifications:

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 develop in their role. The base pay actually offered may vary based on 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

The TD Securities US Compliance team is looking for an Associate-level candidate to join the Trade Surveillance team focused on Communications.

Key Accountabilities

• •Consistently exercise discretion in managing correspondence, information, and all matters of confidentiality; escalate issues where appropriate
• •Be knowledgeable of practices and procedures within the area of responsibility and keep abreast of emerging trends for own functional area
• •Protect the interests of the organization - identify and manage risks, 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, and assess the effectiveness of programs, policies, and 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 aligned with risk appetite.

Stakeholders

• •Familiarize with key stakeholders including front office teams, and support functions such as Technology and Operations
• •Build relationships with the Compliance Advisory team and Control Room by working closely with them on regulatory requests and alert escalations
• •Coordinate requests to and from business (Compliance) partners and coordinate tracking and reporting on Compliance initiatives and programs
• •Prepare summaries, communications, reports, and presentations for management, regulators, and other internal and external stakeholders
• •Proactively identify matters requiring additional review or escalation and liaise with appropriate staff to resolve, as appropriate

Employee/Team

• •Participate fully as a team member, support a positive work environment that promotes service, quality, innovation, and teamwork and ensure timely communication and escalation of issues
• •Network with colleagues in Global Surveillance and the wider Compliance teams and maintain a visible presence
• •Provide coverage to other colleagues for surveillance modules covered during cross-training session
• •Volunteer to present cases/escalations during monthly meetings and team members should participate in the discussion
• •Gain an understanding of new communications surveillance modules and surveillance tools
• •Keep current on emerging trends/developments and enhance knowledge of the business, related tools, and techniques
• •Keep others informed 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 the business area/function and the bank, both internally and/or externally

Breadth & Depth

• •Ensure the T+1 timeline for communications surveillance is followed, except in special circumstances
• •Perform surveillance reviews for Corporate and Investment Banking business, including email, chat and other approved communication channels
• •Review communications involving Above-the-Wall employees and individuals included on deal-specific or other need-to-know lists.
• •Assess communications between investment bankers and Equity Research personnel for compliance with information-barrier, wall-crossing, and appropriate-interaction requirements
• •Identify potential misuse or inappropriate sharing of material nonpublic information, including deal information, transaction status, client activity, financial results, and other confidential information
• •Evaluate communications for adherence to applicable policies governing restricted-list activity, conflicts of interest, research independence, and interactions between public-side and private-side employees
• •Analyze alerts and relevant data to determine whether a communication involves violations of laws, rules, regulations, or firm policies
• •Familiarize with the emerging trends pertaining to regulatory changes and remain updated on trends related to communications surveillance (e.g., market abuse and 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 regularly follow up on pending open items, 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 escalation
• •Engage in consultation for calibration consultation and bringing ideas or proof of concept that can improve 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 Communications Surveillance
• •Participate and contribute to Surveillance department meetings, monthly touchpoints, biweekly Supervision and Surveillance meetings
• •Work closely with the other stakeholders, such as Advisory Compliance, Control Room, 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
• •Pr