US Head of Communications Surveillance (Director)

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📌 Core Information

🔹 Job Title: US Head of Communications Surveillance (Director)

🔹 Company: TD

🔹 Location: New York, New York, United States of America

🔹 Job Type: On-site

🔹 Category: 📣 Marketing Communications (MarCom)

🔹 Date Posted: Tue Apr 01 2025

🔹 Experience Level: 7-10 years

🔹 Remote Status: On-site

📌 Essential Job Details

🚀 Job Overview

Key aspects of this role include:

• Developing and maintaining the electronic communications surveillance program.
• Managing a team of analysts dedicated to communications surveillance.
• Ensuring compliance with market manipulation and prohibited trading practices policies.
• Reporting to the US Head of Surveillance for TD Securities (US).

ASSUMPTION: The role's emphasis on electronic communications suggests a focus on digital communication platforms used in trading environments.

📋 Key Responsibilities

✅ Manage and enhance the electronic communications surveillance program within the Global Compliance Department.

✅ Build and lead a team of Communications Surveillance analysts based in New York.

✅ Oversee regulatory requirements and assist business units in managing their regulatory risk.

✅ Prioritize and manage multiple compliance-related projects simultaneously.

ASSUMPTION: Responsibilities imply a leadership role requiring oversight of complex regulatory environments.

🎯 Required Qualifications

Education: Bachelor’s degree or equivalent experience

Experience: 7-10 years of relevant experience in compliance or surveillance

Required Skills:

• Regulatory Compliance
• Team Management
• Electronic Communication Surveillance
• Project Management

Preferred Skills:

• Risk Management
• Policy Development

ASSUMPTION: Skills listed emphasize a strong foundation in compliance and leadership capabilities.

💰 Compensation & Benefits

Salary Range: $150,000 - $300,000 USD, commensurate with experience and skills.

Benefits:

• Health and well-being benefits
• Savings and retirement programs
• Paid time off, including Vacation PTO and Holiday PTO
• Career development and reward and recognition programs

Working Hours: 40 hours per week

ASSUMPTION: Compensation and benefits are competitive for the industry, reflecting the role’s responsibility and complexity.

📌 Applicant Insights

🔍 Company Context

Industry: Banking and Financial Services

Company Size: 10,001+ employees, indicative of a large organizational structure with potential for networking and career growth.

Founded: Not Specified

Company Description:

• Sixth largest bank in North America by assets.
• Operates in key financial centers globally.
• Known for innovation and delivering legendary customer experiences.

Company Specialties:

• Personal and commercial banking
• Capital markets products and services
• Asset management

Company Website: https://careers.td.com/

ASSUMPTION: The company's size and specialties suggest a diverse workplace with various career paths and resources.

📊 Role Analysis

Career Level: Director, indicating a senior leadership role within the department.

Reporting Structure: Reports to the US Head of Surveillance for TD Securities (US).

Work Arrangement: On-site, likely in a structured office environment.

Growth Opportunities:

• Potential for advancement within compliance and regulatory fields.
• Opportunities to lead larger teams or take on more complex regulatory challenges.
• Development into broader strategic roles within the company.

ASSUMPTION: Role is ideal for individuals looking to leverage and expand their leadership in compliance.

🌍 Location & Work Environment

Office Type: Corporate office environment with access to varied resources and facilities.

Office Location(s): New York, NY

Geographic Context:

• Located in a major global financial center.
• Offers opportunities for networking and career advancement in financial services.
• New York City provides diverse cultural and recreational activities.

Work Schedule: Standard 40-hour work week, with occasional travel.

ASSUMPTION: The position demands a professional office presence, given its on-site requirement.

💼 Interview & Application Insights

Typical Process:

• Initial contact to schedule an interview.
• Interviews focusing on leadership and compliance expertise.
• Outcome communication via email or phone.

Key Assessment Areas:

• Regulatory knowledge and compliance expertise.
• Leadership and team management skills.
• Problem-solving and strategic planning abilities.

Application Tips:

• Highlight experience in compliance and surveillance roles.
• Demonstrate leadership and project management skills.
• Prepare examples of successful regulatory management.

ATS Keywords: Regulatory Compliance, Team Management, Communication Surveillance, Risk Management

ASSUMPTION: Candidates should be prepared to demonstrate expertise in compliance during interviews.

🛠️ Tools & Technologies

• Surveillance software
• Compliance monitoring tools
• Standard office software (e.g., Microsoft Office Suite)

ASSUMPTION: The role involves using specialized compliance and surveillance tools.

👔 Cultural Fit Considerations

Company Values:

• Commitment to excellence and customer service.
• Encouraging innovation and forward-thinking.
• Fostering a collaborative and inclusive workplace.

Work Style:

• Detail-oriented
• Teamwork-centric
• Goal-driven and proactive

Self-Assessment Questions:

• Can I lead a team in a fast-paced compliance environment?
• Do I have a proven record in regulatory risk management?
• Am I proficient in surveillance technologies and methods?

ASSUMPTION: Cultural alignment will focus on leadership in compliance and innovation.

⚠️ Potential Challenges

• Navigating complex regulatory environments.
• Leading a diverse team under tight regulatory schedules.
• Balancing strategic planning with day-to-day management.
• Adapting surveillance strategies in a rapidly changing market.

ASSUMPTION: The role demands resilience and adaptability in high-pressure environments.

📈 Similar Roles Comparison

• Similar positions often require similar years of experience and skill sets.
• May involve different levels of strategic or operational emphasis.
• Opportunities to work in varied regulatory sectors.

ASSUMPTION: Role comparison could help applicants evaluate alternative paths in compliance leadership.

📝 Sample Projects

• Developing a new communication surveillance protocol.
• Enhancing cross-border compliance reporting methods.
• Implementing training programs for surveillance staff.

ASSUMPTION: Projects listed highlight the role’s strategic and compliance-focused nature.

❓ Key Questions to Ask During Interview

• What are the key compliance challenges the team currently faces?
• How is success measured for this role within the organization?
• What surveillance tools are currently employed by TD?
• Can you describe the team dynamics I would manage?
• What are the growth opportunities beyond this role?

ASSUMPTION: These questions are designed to help candidates gauge role expectations and team fit.

📌 Next Steps for Applicants

To apply for this position:

• Submit your application through this link
• Ensure your resume highlights relevant compliance and leadership experience.
• Be prepared to provide examples of managing regulatory challenges.
• Engage with the recruiter for any clarification on the role or compensation.
• Follow up on your application status if you haven't heard back within two weeks.

⚠️ This job description contains AI-assisted information. Details should be verified directly with the employer before making decisions.

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