“Senior Manager, Exchange Traded Products Surveillance (3295) “
Full time @TD BANK posted 16 hours ago in Accounting / Finance Shortlist Email JobJob Detail
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Job ID 20698
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Experience 7 Years
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Qualifications Degree Bachelor
Job Description
“Job Description:
Department Overview
The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required. Within the Global Compliance Department, the Global Surveillance Team is responsible for conducting surveillance of communications and trading as it relates the market manipulation, collusion and other prohibited trading practices.
Job Details
The Senior Manager, Exchange Traded Products Surveillance, TDS reports to the Canada Head of Surveillance for TD Securities (US). Exchange traded products (ETPs) generally includes those products traded on a SEC-registered National Securities Exchanges (i.e., listed options and equities), SEC registered Alternative Trading Systems, and CFTC-registered Designated Contract Market (i.e., exchange-traded futures). The Senior Manager, ETP Surveillance will be responsible for managing, maintaining and enhancing the TD Securities’ current trade surveillance program for ETPs within the Global Compliance Department. The incumbent will be responsible for building and managing a team of trade-surveillance analysts who will be based in Toronto and will cover activity through by or through TD Securities via the Markets division.
Individual Accountabilities
The Senior Manager 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
Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
Position deals with senior/executive management.
Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
Focuses on longer-range planning for functional area (e.g. 12 months or greater).
Manages and prioritizes multiple projects at a given time.
Education & Experience:
Bachelors degree or progressive work experience
7-10 years related experience
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Required skills
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