VP Compliance Manager, Trade Surveillance Initiatives &...

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $150,000 - $185,000 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: The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a comprehensive communications surveillance program, including identifying emerging risks, regulatory developments related to surveillance, maintaining Compliance Surveillance departmental procedures, providing relevant training for Surveillance, conducting quality assurance of alert disposition , reporting on the state of Surveillance program to the Board, senior management, and regulators, as needed, and effective check and challenge. Reporting to the Head of Surveillance Initiatives and Portfolio Management, the new hire will be responsible for working with the team lead and key stakeholders to: maintain TDS' compliance surveillance framework; manage large surveillance projects (e.g., remediation, implementing new surveillance tools); prepare status on projects and the state of the surveillance program; and ensure that the Surveillance program is robust, adaptive, and aligned with global regulatory expectations. The ideal candidate will possess a strong compliance acumen, leadership qualities, and the ability to drive strategic initiatives in a complex regulatory environment. This position will focus on the electronic communications surveillance portfolio and initiatives. 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. Key Responsibilities: + Reporting: With the Head of Surveillance Initiatives and Portfolio Management and key stakeholders: assist with leading surveillance oversight /governance committees for Communications Surveillance; report on the status of surveillance remediation and modernization initiatives; and enhance and streamline TDS Surveillance's current reporting across regional committees and boards (e.g., surveillance metrics, operational issues, and related reporting). Provide the leadership team with relevant Management Information, reporting, and support to ensure surveillance operational issues (e.g. vendor issues and surveillance outages) are appropriately managed, addressed, tracked and reported on in governance. + Surveillance Portfolio Management: Work with the Head of Surveillance Initiatives and Portfolio Management, DDI, technology and key stakeholders (e.g., Communications Surveillance Leads, and Chief Compliance Officers) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new surveillance deployments, and surveillance enhancements. + Issues Management: Track and manage Regulatory and Audit Findings related to surveillance to ensure that such findings are properly and timely addressed (i.e., assist with overseeing progress of all internal and/or external remediation issues relating to Surveillance with key stakeholders). + Read Across: Assist with coordinating surveillance

Created: 2025-10-03