VP Compliance - Trade Surveillance, Fixed Income

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

About the Role

TD Securities US Compliance is seeking a Vice President to join the trade surveillance team, specializing in Fixed Income, Commodities, Options, and Futures products. The VP Compliance role oversees a team of specialists providing advice, guidance, and expertise on regulatory requirements, assisting business units in managing regulatory risk.

Responsibilities

• Exercise discretion in managing correspondence, information, and confidentiality; escalate issues as appropriate.
• Stay knowledgeable of practices and procedures within your area of responsibility and emerging trends in the functional area.
• Protect the organization’s interests by identifying and managing risks; escalate non-standard, high-risk activities.
• Conduct reporting and analysis at the functional or enterprise level, using results to draw conclusions, make recommendations, and assess program/policy effectiveness.
• Monitor service, productivity, and efficiency within your function; implement continuous process improvements.
• Acquire and apply expertise in the discipline; provide guidance and direction to others.
• Identify, recommend, and execute standard practices applicable to the discipline.
• Adhere to internal policies, procedures, and regulatory guidelines; stay abreast of emerging issues and evolving regulatory requirements.
• Maintain a culture of risk management and control, aligned with risk appetite.
• Build relationships with key stakeholders, including front office teams, Technology, Operations, and the Compliance Advisory team.
• Coordinate requests to and from business partners; track and report Compliance initiatives and programs.
• Prepare summaries, communications, reports, and presentations for management, regulators, and other stakeholders.
• Proactively identify matters requiring escalation or additional review; liaise with appropriate staff to resolve issues.
• Participate fully as a team member, supporting a positive work environment that promotes service, quality, innovation, and teamwork.
• Network with colleagues in Global Surveillance and wider Compliance teams; provide coverage for other surveillance modules during cross-training.
• Present cases or escalations during monthly meetings; gain understanding of new trade surveillance modules and tools.
• Keep current on emerging trends and enhance knowledge of the business, tools, and techniques.
• Contribute to team success by assisting others, providing training, coaching, or guidance as needed.
• Act as a brand ambassador for your business area and the bank, both internally and externally.

Requirements

• Bachelor’s degree or progressive work experience.
• 6-9 years of related experience in Fixed Income markets.
• Subject matter expertise in Fixed Income, Commodities, Options, and Futures products.
• Ability to work independently and manage a specialized compliance area or function, leading a team of specialists.
• Key contact for business management, regulators, and auditors; experience handling non-routine information.
• Focus on short- to mid-range planning (e.g., 6-12 months).
• Experience managing regulatory reviews, including inquiries, audits, and exams.

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 across 40 global cities, we provide underwriting and distribution of new issues, trusted advice, industry-leading insight, access to global markets, and integrated transaction banking solutions. In 2023, TD acquired Cowen Inc., expanding our U.S. equities business and equity research franchise while growing our diversified investment bank.

Pay

$140,000 - $180,000 USD

Benefits

• Base salary and variable compensation/incentive awards (e.g., cash and/or equity incentives).
• Health and well-being benefits.
• Savings and retirement programs.
• Paid time off (Vacation PTO, Flex PTO, Holiday PTO).
• Banking benefits and discounts.
• Career development and reward/recognition programs.
• Training and onboarding sessions for new roles.