Lead a team responsible for overseeing, reviewing, and enhancing the surveillance program for market abuse across various TD Securities regional lines
Job Summary
Lead a team responsible for overseeing, reviewing, and enhancing the surveillance program for market abuse across various TD Securities regional lines.
Develop and grow the team through a period of change and growth, while assisting with responses to regulatory inquiries regarding market abuse.
Create strategic focus and actively manage Trade Surveillance systems, policies, and procedures to produce a more effective program on a sustained basis.
Matching Summary
Lead a team responsible for overseeing, reviewing, and enhancing the surveillance program for market abuse across various TD Securities regional lines.
Skills & Requirements
Must-have
Market abuse surveillance program
Regulatory compliance programs
Compliance policies and procedures
Independent monitoring and oversight
TD Global Compliance Department Mandate
Nice-to-have
Leader of change and culture-carrier
Strong governance and control environment
Talent development and coaching
Strategic thinker with excellent judgment
Relationship building and negotiation skills
Key Requirements
Minimum 10 years brokerage compliance experience
Experience at a European Regulator (FCA or CBI)
Deep understanding of European market laws and regulations
People leadership and management experience
University degree required; Post Graduate degree preferred