Work Location:
New York, New York, United States of AmericaHours:
40Line of Business:
CompliancePay Detail:
$185,000 - $225,000 USDTD 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:
Preferred Qualifications
The Global Head of Communications Surveillance is responsible for the enterprise‑wide leadership, strategic direction, and regulatory integrity of the Communications Surveillance program within Global Trade Surveillance (GTS). The role serves as the GTS global accountable owner for the design, governance, and execution of a risk‑based, regulator‑ready communications surveillance framework across all regions, asset classes, and electronic and emerging communications channels.
The role exercises independent judgment and escalation authority on matters relating to market abuse, insider trading, and communications‑based market abuse misconduct, and represents GTS Communications Surveillance in senior internal governance forums and regulatory engagements.
Key Responsibilities
Strategy, Governance, and Accountability
• Establish and maintain a single global operating model for GTS Communications Surveillance, including consistent procedures, escalation pathways, quality standards, and governance frameworks.
• Own and execute the global GTS Communications Surveillance strategy and multi‑year roadmap, including program modernization, remediation, and enhancement initiatives.
• Act as the global decision owner for GTS Communications Surveillance policies, procedures, surveillance frameworks, and standards.
• Ensure alignment with the firm’s Global Compliance Operating Framework and compliance risk appetite.
Surveillance Program Execution
• Deliver a globally consistent, risk‑based communications surveillance program that meets regulatory expectations across jurisdictions and businesses.
• Oversee surveillance coverage across electronic, and available communications channels, ensuring appropriate control design and effectiveness.
• Ensure surveillance alerts are reviewed, escalated, and dispositioned in accordance with defined global standards and governance.
• Partner with Technology, Product Management, and third‑party vendors to drive platform strategy, data integrity, completeness, and operational resilience of surveillance capabilities.
Regulatory Engagement and Remediation
• Lead and coordinate responses to regulatory inquiries, examinations, and information requests related to Communications Surveillance.
• Own and drive regulatory remediation efforts to closure, including responses to audit findings, consent orders, and regulatory commitments.
• Produce clear, accurate, and timely risk reporting for senior management, governance committees, and regulators.
• Represent Global Trade Surveillance Communications Surveillance in regulatory engagements and industry forums, as required.
Leadership and People Management
• Build, lead, and oversee a global Communications Surveillance team within Global Trade Surveillance.
• Set clear expectations, performance standards, and development objectives for managers and analysts.
• Oversee hiring, training, and talent development to support an expanded and sustainable global surveillance program.
• Foster a strong culture of integrity, accountability, and risk awareness.
Senior Stakeholder Engagement
• Provide credible challenge and strategic influence across business lines, regional Compliance teams, Risk, Technology, Product Management, and Legal partners.
• Escalate material risks, control gaps, or program deficiencies to senior Compliance, Risk, and Business leadership as appropriate.
• Support senior governance committees with executive‑level reporting, insights, and recommendations.
Scope of Responsibility
• Global accountability for Communications Surveillance across all regions and applicable businesses
• Oversight of surveillance technology, case management, reporting, and analytics capabilities
• Ownership of global governance, policies, procedures, quality assurance standards, and remediation frameworks
Qualifications and Experience
• Extensive experience in communications surveillance
• Prior experience in Markets Compliance, Surveillance, or Risk Management within a global financial institution strongly preferred.
• Deep understanding of market abuse risk, insider trading, and communications‑based misconduct
• Demonstrated experience leading large‑scale surveillance programs, regulatory remediation, and program transformation initiatives
• Proven senior leadership capability with strong judgment, executive presence, and regulatory credibility
Reporting and Authority
• Senior leadership role within Global Trade Surveillance
• Independent escalation authority on communications surveillance‑related risks
• Acts as the global authority for Communications Surveillance strategy, governance, and execution
*General Job Description:
The Director 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
Education & Experience:
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.
Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more
Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Job details are sourced from the employer's original posting.
Open job postingAbout the company
TD Securities is the investment banking and wholesale division of TD Bank Group.