Vp Compliance - Trade Surveillance, Communications - Td Securities (us)

TD Ameritrade

New York, New York, United States of America
Base: $150,000 - $180,000 usd; bonus/equity: eligi...
5-10 years communications surveillance experience
Knowledge of us market regulations
Experience with equities, fixed income, fx
The role involves leading a team to oversee trade surveillance specifically focused on communications within the TD Securities US Compliance team

Job Summary

  • The role involves leading a team to oversee trade surveillance specifically focused on communications within the TD Securities US Compliance team.
  • Candidates must possess deep knowledge of emerging regulatory trends and the ability to identify and escalate high-risk activities involving law or policy violations.
  • TD offers a competitive total rewards package including base salary, variable compensation, health benefits, and extensive career development opportunities.

Matching Summary

The role involves leading a team to oversee trade surveillance specifically focused on communications within the TD Securities US Compliance team.

Salary

Base: $150,000 - $180,000 USD; Bonus/Equity: Eligible for cash and/or equity incentive awards; Benefits: Health, retirement, paid time off, and banking discounts

Skills & Requirements

Must-have

  • 5-10 years communications surveillance experience
  • Knowledge of US market regulations
  • Experience with Equities, Fixed Income, FX
  • Ability to analyze alerts for violations
  • Understanding of market manipulation patterns

Nice-to-have

  • Peer firm or regulator background
  • FINRA Certified Compliance Officer Program
  • Strong stakeholder relationship building
  • Experience with calibration and risk scoring
  • Proven ability to coach new joiners

Key Requirements

  • Bachelor's degree required
  • Minimum 5-7 years related experience
  • Relevant professional designations preferred

Work Rights

Not specified

Tailored Resume

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