Information Barrier Surveillance Lead Analyst

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$150,000 - $180,000 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:

KEY ACCOUNTABILITIES

SHAREHOLDER

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

STAKEHOLDERS

• •Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations
• •Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations

• •Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs
• •Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
• •Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate

EMPLOYEE / TEAM

Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication and/or escalation of issues

Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence

• •Provide coverage to other colleagues for surveillance modules covered during cross training sessions
• •Volunteer to present cases/escalations during monthly meeting and team members should participate in the discussion
• •Gain an understanding of new trade surveillance modules and surveillance tools
• •Keep current on emerging trends/ developments and enhance knowledge of the business, related tools and techniques
• •Keep others informed and up to date 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 your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• •Conduct daily and periodic surveillance reviews related to Information barrier breaches, Restricted and Grey (Watch) List activity, Over the Wall Surveillance and misuse of Material Nonpublic Information (MNPI)
• •Ensure T+1 timeline for trade surveillance is adhered to, except in any special circumstances
• •Analyze alerts and relevant data to determine whether a trade involves violations of law, rules and regulations and/or firm policies
• •Familiarize with the emerging trends pertaining to regulatory changes and remain updated on trends related to Information Barrier surveillance (e.g., market abuse, 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 follow-up on pending open items on a regular basis, 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 escalations
• •Engage in consultation for calibration and bringing ideas or proof of concept that can improve the 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 Trade Surveillance
• •Participate and contribute to Surveillance department meetings, monthly touchpoints, bi-weekly Supervision and Surveillance meetings
• •Work closely with the other stakeholders, such as Advisory Compliance, the 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
• •Provide support to the regional Compliance teams by ensuring they have all the pertinent information to address their remediation of regulatory risk specific to their region

• •Analyze the data source and be able to draw conclusions to meet review requirements
• •Understand the trade flow from start to finish, including booking system, files being used for alert generation

EXPERIENCE & EDUCATION

• •Undergraduate degree required
• •Relevant professional designations such as FINRA Certified Compliance Officer Program
• •Basic knowledge of trade surveillance is required
• •5+ years of experience trade surveillance with specific focus on Information Barrier Surveillance preferred

Surveillance experience at peer firm or regulator is preferred

Knowledge of the US markets and regulations, particularly in relation to Information Barrier Surveillance (knowledge of global markets is a plus)

*General Job Description

The VP 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:

• •Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
• •Subject matter expert for a functional area
• •Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
• •Focuses on short to mid- range planning (e.g. 6-12 mo