Director, Global Head of Communications Surveillance

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$185,000 - $225,000 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

The Global Head of Communications Surveillance is responsible for the enterprise‑wide leadership, strategic direction, and regulatory integrity of the Communications Surveillance program within Global Trade Surveillance (GTS). The role serves as the GTS global accountable owner for the design, governance, and execution of a risk‑based, regulator‑ready communications surveillance framework across all regions, asset classes, and electronic and emerging communications channels.

The role exercises independent judgment and escalation authority on matters relating to market abuse, insider trading, and communications‑based market abuse misconduct, and represents GTS Communications Surveillance in senior internal governance forums and regulatory engagements.

Key Responsibilities

Strategy, Governance, and Accountability

• •Establish and maintain a single global operating model for GTS Communications Surveillance, including consistent procedures, escalation pathways, quality standards, and governance frameworks.
• •Own and execute the global GTS Communications Surveillance strategy and multi‑year roadmap, including program modernization, remediation, and enhancement initiatives.
• •Act as the global decision owner for GTS Communications Surveillance policies, procedures, surveillance frameworks, and standards.
• •Ensure alignment with the firm’s Global Compliance Operating Framework and compliance risk appetite.

Surveillance Program Execution

• •Deliver a globally consistent, risk‑based communications surveillance program that meets regulatory expectations across jurisdictions and businesses.
• •Oversee surveillance coverage across electronic, and available communications channels, ensuring appropriate control design and effectiveness.
• •Ensure surveillance alerts are reviewed, escalated, and dispositioned in accordance with defined global standards and governance.
• •Partner with Technology, Product Management, and third‑party vendors to drive platform strategy, data integrity, completeness, and operational resilience of surveillance capabilities.

Regulatory Engagement and Remediation

• •Lead and coordinate responses to regulatory inquiries, examinations, and information requests related to Communications Surveillance.
• •Own and drive regulatory remediation efforts to closure, including responses to audit findings, consent orders, and regulatory commitments.
• •Produce clear, accurate, and timely risk reporting for senior management, governance committees, and regulators.
• •Represent Global Trade Surveillance Communications Surveillance in regulatory engagements and industry forums, as required.

Leadership and People Management

• •Build, lead, and oversee a global Communications Surveillance team within Global Trade Surveillance.
• •Set clear expectations, performance standards, and development objectives for managers and analysts.
• •Oversee hiring, training, and talent development to support an expanded and sustainable global surveillance program.
• •Foster a strong culture of integrity, accountability, and risk awareness.

Senior Stakeholder Engagement

• •Provide credible challenge and strategic influence across business lines, regional Compliance teams, Risk, Technology, Product Management, and Legal partners.
• •Escalate material risks, control gaps, or program deficiencies to senior Compliance, Risk, and Business leadership as appropriate.
• •Support senior governance committees with executive‑level reporting, insights, and recommendations.

Scope of Responsibility

• •Global accountability for Communications Surveillance across all regions and applicable businesses
• •Oversight of surveillance technology, case management, reporting, and analytics capabilities
• •Ownership of global governance, policies, procedures, quality assurance standards, and remediation frameworks

Qualifications and Experience

Extensive experience in communications surveillance

• •Prior experience in Markets Compliance, Surveillance, or Risk Management within a global financial institution strongly preferred.
• •Deep understanding of market abuse risk, insider trading, and communications‑based misconduct
• •Demonstrated experience leading large‑scale surveillance programs, regulatory remediation, and program transformation initiatives
• •Proven senior leadership capability with strong judgment, executive presence, and regulatory credibility

Reporting and Authority

• •Senior leadership role within Global Trade Surveillance
• •Independent escalation authority on communications surveillance‑related risks
• •Acts as the global authority for Communications Surveillance strategy, governance, and execution

*General Job Description:

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 Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.

Together, we are reimagining what banking can be for our clients, colleagues and communities.

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