Director, Global Head of Communications Surveillance

Work Location: New York, New York, United States of America | Full-time, 40 hours per week

About the Role

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). This 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.

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.

Requirements

• 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.
• Bachelor’s degree or progressive work experience.
• 7-10 years of related experience.

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.

Pay

$185,000 - $225,000 USD base salary.

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 and reward and recognition programs.
• Training and onboarding programs.
• Competitive variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards).

About the Company

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients. With more than 6,500 professionals operating out of 40 cities across the globe, TD Securities strives to make every interaction, product, and experience remarkably human and refreshingly simple. 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, TD Securities acquired Cowen Inc., expanding its U.S. equities business and equity research franchise.