TD Bank

Information Barrier Surveillance Lead Analyst

TD Bank • $150K — $180K *
New York, NY 10025In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Undergraduate degree required.
  • 5+ years of trade surveillance experience focused on Information Barrier Surveillance preferred.
  • Knowledge of US markets and regulations is essential; global market knowledge is a plus.
  • Relevant professional certifications like FINRA Certified Compliance Officer Program are preferred.
  • Basic knowledge of trade surveillance required.

Responsibilities

  • Manage correspondence and confidential matters with discretion; escalate issues appropriately.
  • Conduct reporting and meaningful analysis to assess program effectiveness and risks.
  • Build relationships with Compliance Advisory teams for regulatory requests and escalations.
  • Participate in daily and periodic surveillance reviews related to information barrier breaches and regulatory compliance.
  • Monitor and improve service and productivity levels within the compliance function.

Benefits

  • Opportunities for professional development and training.
  • Collaborative work environment promoting teamwork and innovation.
  • Exposure to various compliance-related projects and initiatives.
  • Support in enhancing compliance tools and systems.
  • Participation in important regulatory audits and compliance meetings.
Full Job Description
Work Location:
New York, New York, United States of America

Hours:
40

Line of Business:
Compliance

Pay Detail:
$150,000 - $180,000 USD

Job Description:

Preferred Qualifications:

KEY ACCOUNTABILITIES

SHAREHOLDER
  • Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
  • Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
  • Protect the interests of the organization - identify and manage risks, and escalate non-standard, high-risk activities as necessary
  • Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
  • Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exist
  • Acquire and apply expertise in the discipline, provide guidance and direction to others
  • Identify, recommend and effectively execute standard practices applicable to the discipline
  • Adhere to internal policies/procedures and applicable regulatory guidelines
  • 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


STAKEHOLDERS
  • Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations
  • Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations
  • Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs
  • Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
  • Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate


EMPLOYEE / TEAM
  • Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication and/or escalation of issues
  • Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence
  • Provide coverage to other colleagues for surveillance modules covered during cross training sessions
  • Volunteer to present cases/escalations during monthly meeting and team members should participate in the discussion
  • Gain an understanding of new trade surveillance modules and surveillance tools
  • Keep current on emerging trends/ developments and enhance knowledge of the business, related tools and techniques
  • Keep others informed and up to date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
  • Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate
  • Contribute to a fair, positive and equitable environment that supports a diverse workforce
  • Act as a brand ambassador for your business area/function and the bank, both internally and/or externally


BREADTH & DEPTH
  • Conduct daily and periodic surveillance reviews related to Information barrier breaches, Restricted and Grey (Watch) List activity, Over the Wall Surveillance and misuse of Material Nonpublic Information (MNPI)
  • Ensure T+1 timeline for trade surveillance is adhered to, except in any special circumstances
  • Analyze alerts and relevant data to determine whether a trade involves violations of law, rules and regulations and/or firm policies
  • Familiarize with the emerging trends pertaining to regulatory changes and remain updated on trends related to Information Barrier surveillance (e.g., market abuse, regulatory expectations, etc).
  • Proactively identify matters requiring additional review and when to escalate to Surveillance Management and Advisory Compliance partners
  • Develop a thorough understanding of multiple market manipulation surveillance patterns and continuously look for efficiencies and enhancements to the work
  • Identify the gaps and improvements such as how the surveillance patterns can be enhanced or calibrated more effectively
  • Update the case management tool for every escalation and follow-up on pending open items on a regular basis, consistent with department procedures and regulatory expectations.
  • Coach and educate new joiners to drive compliance training, leveraging various tools such as recent regulatory fines to using complex exceptions that required further investigation
  • Execute on more complex and non-standard requests and escalations
  • Engage in consultation for calibration and bringing ideas or proof of concept that can improve the reviews
  • Support audit related activities by providing documentation and relevant subject matter expertise
  • Participate in surveillance projects that are critical to the department and pertaining to Trade Surveillance
  • Participate and contribute to Surveillance department meetings, monthly touchpoints, bi-weekly Supervision and Surveillance meetings
  • Work closely with the other stakeholders, such as Advisory Compliance, the Trading desks and Technology.
  • Provide support in enhancing the surveillance system through the Surveillance departments calibration process, including reviewing alerts, risk scoring of alerts, and possible parameter changes
  • Provide support to the regional Compliance teams by ensuring they have all the pertinent information to address their remediation of regulatory risk specific to their region
  • Analyze the data source and be able to draw conclusions to meet review requirements
  • Understand the trade flow from start to finish, including booking system, files being used for alert generation


EXPERIENCE & EDUCATION
  • Undergraduate degree required
  • Relevant professional designations such as FINRA Certified Compliance Officer Program
  • Basic knowledge of trade surveillance is required
  • 5+ years of experience trade surveillance with specific focus on Information Barrier Surveillance preferred
  • Surveillance experience at peer firm or regulator is preferred
  • Knowledge of the US markets and regulations, particularly in relation to Information Barrier Surveillance (knowledge of global markets is a plus)


*General Job Description

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.

Depth & Scope:
  • Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
  • Subject matter expert for a functional area
  • Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
  • Focuses on short to mid- range planning (e.g. 6-12 months)
  • Manages regulatory reviews including inquiries, audits, and exams


Education & Experience:
  • Bachelors degree or progressive work experience
  • 5-7 Years of related experience


About TD Bank

TD Securities offers a range of advisory and capital market services to its clients. The company's range of services includes research, investment banking, capital markets, and global transaction banking. Research consists of commodity and equity research. Investment banking consists of mergers, acquisitions, industry expertise, and credit origination. Global transaction banking consists of trade finance, cash management, and correspondent banking. TD Securities was founded in 1855 and is based in Ontario.

TD Bank Careers

Join the vibrant team at TD Bank, one of North America's leading financial services organizations, where innovation, leadership, and growth go hand in hand. At TD Bank, we are committed to fostering a culture of diversity and inclusion, making it an ideal place for ambitious professionals to thrive. Work You’ll Do At TD Bank, your professional journey is bolstered by a robust support system. From your first interview to every career milestone, you will find opportunities for growth and leadership. Our team is dedicated to helping you develop the skills necessary for success in the ever-evolving financial sector. TD Bank offers a variety of job opportunities across multiple fields, from customer service to investment banking. Each position at TD Bank is a chance to contribute to our culture of innovation and exceptional client service. Internship Programs Kickstart your career with a TD Bank internship. Our programs provide invaluable industry exposure and hands-on experience, making them a perfect starting point for students and recent graduates eager to make their mark in the banking industry. Interns at TD Bank enjoy the unique opportunity to work alongside seasoned professionals, gaining insights that are crucial for future employment. Benefits and Growth TD Bank is deeply committed to the well-being and continuous growth of our team members. We offer competitive benefits packages that cover health, finance, and family care. Our employees enjoy comprehensive health insurance, retirement plans, and generous paid time off, among other perks. Moreover, TD Bank encourages professional development through various training programs, including leadership development and diversity training. These initiatives ensure that our team remains at the forefront of industry standards and best practices. Join Our Team Explore the numerous career paths available at TD Bank and discover how your skills and interests align with our mission. We are actively hiring and continually looking for talented individuals who are passionate about banking and customer service. Networking and Professional Development At TD Bank, we believe in the power of networking and collaboration. Our employees have access to a wide range of networking events, workshops, and seminars that promote career development and professional growth. These platforms not only enhance your professional skills but also expand your industry connections. Stay Connected Keep up to date with the latest at TD Bank Careers by subscribing to our job alert emails. Tailor your subscription to match your career preferences and get the latest news, insider tips, and job opportunities delivered straight to your inbox. Explore job opportunities at TD Bank and be part of a team that values hard work, creativity, and a diverse workplace culture. Your next great career move is just a click away. SEARCH TD BANK JOBS Join us at TD Bank and let your ambition lead you to a rewarding career filled with opportunities to learn, grow, and innovate.
Learn more about TD Bank
Size
90,000 employees
Market Cap
$117.9 billion
Industry
Finance & Insurance
Net Income
-$6.9 million
5 Year Trend
+6.6%
* Ladders Estimates

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