📌 Core Information
🔹 Job Title: VP, Compliance - Trade Surveillance, Communications
🔹 Company: TD
🔹 Location: New York, New York, United States
🔹 Job Type: On-site
🔹 Category: Banking & Finance
🔹 Date Posted: May 20, 2025
🔹 Experience Level: 5-10 years
🔹 Remote Status: No
🚀 Job Overview
Key aspects of this role include:
- Leading a team of compliance specialists focused on trade surveillance and communications
- Managing regulatory risk and ensuring adherence to laws, rules, and firm policies
- Collaborating with various stakeholders, including front office teams, support functions, and regulators
- Conducting analysis and reporting to draw conclusions, make recommendations, and assess program effectiveness
- Implementing process improvements and driving continuous performance enhancements
ASSUMPTION: This role requires a high level of expertise in compliance, trade surveillance, and risk management, with a strong focus on communications. The ideal candidate will have extensive experience in a similar role and be well-versed in regulatory requirements and industry best practices.
📋 Key Responsibilities
✅ Oversee a team of compliance specialists, providing guidance and expertise on regulatory requirements and managing regulatory risk
✅ Monitor compliance with laws, rules, and firm policies, and escalate non-compliance as necessary
✅ Conduct analysis and reporting to draw conclusions, make recommendations, and assess program effectiveness
✅ Identify and manage risks, and escalate non-standard, high-risk activities as appropriate
✅ Monitor service, productivity, and assess efficiency levels within the function, implementing continuous process improvements where opportunities exist
✅ Build relationships with key stakeholders, including front office teams, support functions, and regulators
✅ 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
ASSUMPTION: This role requires a strong understanding of compliance processes, regulatory requirements, and risk management practices. The ideal candidate will have experience leading teams and driving process improvements in a fast-paced, dynamic environment.
🎯 Required Qualifications
Education: Bachelor's degree or progressive work experience
Experience: 5-10 years of related experience, with a focus on surveillance and communications
Required Skills:
- Expertise in compliance, trade surveillance, and risk management
- Proven leadership and team management skills
- Strong analytical and problem-solving abilities
- Excellent communication and stakeholder management skills
- Familiarity with regulatory changes and industry best practices
- Ability to work independently and manage multiple priorities
Preferred Skills:
- Experience in the banking and finance industry
- Fluency in multiple languages
- Certified Compliance & Ethics Professional (CCEP) or similar certification
ASSUMPTION: The ideal candidate will have a strong background in compliance, trade surveillance, and risk management, with a proven track record of driving process improvements and managing high-performing teams.
💰 Compensation & Benefits
Salary Range: $120,000 - $190,000 USD
Benefits:
- Health and well-being benefits
- Savings and retirement programs
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Banking benefits and discounts
- Career development opportunities
- Reward and recognition programs
Working Hours: 40 hours per week
ASSUMPTION: The salary range provided is an estimate based on industry standards for a role of this level and experience in the banking and finance industry. Actual compensation may vary based on the candidate's skills, experience, and other factors.
📌 Applicant Insights
🔍 Company Context
Industry: Banking & Finance
Company Size: 10,001+ employees
Founded: 1855 (as Toronto-Dominion Bank)
Company Description:
- TD is a multinational financial services company headquartered in Toronto, Canada
- TD offers a wide range of capital markets products and services to corporate, government, and institutional clients
- TD Securities offers underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions
Company Specialties:
- Personal & commercial banking
- Brokerage services
- Mutual funds
- Asset management
- Insurance
- Capital markets products & services
Company Website: careers.td.com
ASSUMPTION: TD is a large, established financial institution with a global presence. This role is part of TD Securities, the investment banking arm of the company, which offers a wide range of capital markets products and services to clients.
📊 Role Analysis
Career Level: Senior/Managerial
Reporting Structure: Reports directly to the Head of Compliance - Trade Surveillance, Communications
Work Arrangement: On-site, full-time
Growth Opportunities:
- Potential to advance to a director or vice president role within the compliance function
- Opportunities to expand expertise in other areas of compliance or within the broader TD organization
- Chance to work on high-impact projects and initiatives, driving meaningful change and improvement
ASSUMPTION: This role offers significant growth potential for the right candidate, with opportunities to advance within the compliance function or expand expertise into other areas of the business.
🌍 Location & Work Environment
Office Type: Corporate headquarters
Office Location(s): 31 W 52nd St, New York, NY 10019, US
Geographic Context:
- New York, New York, United States
- Highly populated and diverse urban area
- Vibrant financial district with numerous banking and financial services institutions
Work Schedule: Monday - Friday, 9:00 AM - 5:00 PM (with flexibility for business needs)
ASSUMPTION: This role is based in TD's New York office, located in the heart of the city's financial district. The office offers a modern, collaborative work environment with easy access to public transportation and nearby amenities.
💼 Interview & Application Insights
Typical Process:
- Phone or video screen with a member of the HR team
- In-depth behavioral and technical interviews with the hiring manager and other team members
- Final round with the Head of Compliance - Trade Surveillance, Communications
- Background check and reference check
Key Assessment Areas:
- Compliance and regulatory knowledge
- Leadership and team management skills
- Analytical and problem-solving abilities
- Communication and stakeholder management skills
- Cultural fit and alignment with TD's values
Application Tips:
- Tailor your resume and cover letter to highlight your relevant experience and skills for this role
- Be prepared to discuss your experience with compliance, trade surveillance, and risk management, as well as your familiarity with regulatory changes and industry best practices
- Research TD and the role thoroughly, and be ready to ask insightful questions during the interview
- Demonstrate your ability to work collaboratively and manage multiple priorities in a fast-paced environment
ATS Keywords: Compliance, Trade Surveillance, Risk Management, Regulatory Requirements, Team Leadership, Stakeholder Management, Process Improvement, Data Analysis, Communication, Banking & Finance
ASSUMPTION: The interview process for this role will focus on assessing the candidate's compliance and regulatory knowledge, leadership and team management skills, and cultural fit with TD's values. Candidates should be prepared to discuss their experience and expertise in detail and provide specific examples of their accomplishments.
🛠️ Tools & Technologies
- Microsoft Office Suite (Word, Excel, PowerPoint)
- Bloomberg Terminal
- Thomson Reuters Eikon
- Compliance software and platforms (e.g., MetricStream, Ascendant Compliance Manager)
- Project management tools (e.g., Microsoft Project, Asana, Trello)
ASSUMPTION: This role requires proficiency in Microsoft Office Suite, as well as familiarity with industry-standard compliance software and platforms. Experience with project management tools is also beneficial.
👔 Cultural Fit Considerations
Company Values:
- Integrity
- Empathy
- Inclusion
- Respect
- Accountability
Work Style:
- Collaborative and team-oriented
- Results-driven and focused on continuous improvement
- Adaptable and open to change
- Strong communication and interpersonal skills
Self-Assessment Questions:
- How do you demonstrate integrity and ethical decision-making in your professional life?
- Can you provide an example of a time when you had to manage a difficult stakeholder relationship, and how did you approach it?
- How do you stay organized and manage multiple priorities in a fast-paced environment?
ASSUMPTION: TD places a strong emphasis on its core values and seeks candidates who align with these principles. The ideal candidate will be collaborative, results-driven, and adaptable, with strong communication and interpersonal skills.
⚠️ Potential Challenges
- Managing a high-volume workload and meeting tight deadlines
- Navigating complex regulatory requirements and changes
- Balancing the need for thorough analysis and timely decision-making
- Managing a team with diverse skills and experience levels
- Adapting to a dynamic and evolving work environment
ASSUMPTION: This role presents unique challenges that require a strong work ethic, exceptional time management skills, and the ability to thrive in a fast-paced, dynamic environment.
📈 Similar Roles Comparison
- This role is similar to a Compliance Manager or Senior Compliance Officer, but with a focus on trade surveillance and communications
- Unlike other compliance roles, this position requires a deep understanding of market manipulation surveillance patterns and the ability to analyze and interpret complex data
- Career progression in this role may lead to opportunities in other areas of compliance or within the broader TD organization
ASSUMPTION: While this role shares similarities with other compliance positions, it requires a unique skill set and expertise in trade surveillance and communications. Candidates should have a strong background in these areas and be prepared to manage a team with diverse skills and experience levels.
📝 Sample Projects
- Conducting a comprehensive review of the trade surveillance process and recommending enhancements to improve efficiency and effectiveness
- Developing and implementing a training program for new joiners to ensure they have the necessary skills and knowledge to contribute to the team's success
- Collaborating with other departments to identify and address potential regulatory gaps and ensure compliance with relevant laws, rules, and firm policies
ASSUMPTION: These sample projects illustrate the diverse range of responsibilities and initiatives that the ideal candidate may be involved in, requiring a strong skill set and the ability to work effectively with various stakeholders.
❓ Key Questions to Ask During Interview
- Can you describe the team structure and reporting lines for this role?
- How does this role fit into the broader compliance function and the organization as a whole?
- What are the most pressing challenges facing the team currently, and how can this role help address them?
- How does TD support the professional development and growth of its compliance team members?
- What are the key priorities for this role in the first 30, 60, and 90 days?
ASSUMPTION: Asking insightful questions during the interview demonstrates your interest in the role and provides an opportunity to gain a deeper understanding of the team, the organization, and the specific challenges and opportunities that the role presents.
📌 Next Steps for Applicants
To apply for this position:
- Submit your application through this link
- Tailor your resume and cover letter to highlight your relevant experience and skills for this role
- Prepare for your interviews by researching TD, the role, and the industry, and be ready to discuss your experience and expertise in detail
- Follow up with the hiring manager or HR representative after your interview to express your interest in the role and reiterate your qualifications
- If you are offered the position, consider asking about the possibility of a trial period or mentorship program to help you transition into the role successfully
⚠️ This job description contains AI-assisted information. Details should be verified directly with the employer before making decisions.
