429894BR

　　Job Title:

　　Director, Global Communications Surveillance Program Lead

　　Company Overview:

　　Our Values

　　At TD, we're guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and behaviors. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career, and be part of our caring and inclusive culture.

　　Making Your Well-being a Priority

　　A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars — physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best.

　　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.

　　How We Work

　　At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they’ll always have access to the TD community to experience our culture of care.

　　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 help clients meet their needs today and prepare for tomorrow. 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. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

　　Auto req ID:

　　429894BR

　　Department Overview:

　　The TDS Communications Program lead will be part of the Regulatory & Supervisory Management team within Global Markets. Regulatory and Supervisory Management proactively support Global Markets in achieving robust business strategies that are well-supervised, operationally effective and aligned with regulatory requirements and the Bank's risk appetite.

　　Position Overview:

　　The successful candidate will lead the TDS Communications Program globally, driving a cohesive, end-to-end strategy for surveillance and record retention. They will be the primary point of contact for all TDS communications surveillance matters. Partnership is critical to success. The candidate will work with Business, Technology, Compliance and other stakeholders to understand requirements, methodology, controls and performance.

　　Core Accountabilities:

　　Drive a cohesive, end-to-end strategy for communications use, surveillance and record retention.

　　Approved mediums across electronic, voice, text, video, social media

　　Roadmap for the development surveillance platforms

　　Understand and communicate regulatory and policy requirements regarding acceptable use of communications.

　　Coordinate with Business and Compliance to establish business requirements for communications initiatives, consistency in surveillance approach and best practices, and solve any issues.

　　Coordinate with Technology to understand the end-to-end flow of platforms and processes and support the implementation of business requirements.

　　Coordinate with stakeholders on issue identification, escalation, tracking and remediation management.

　　Develop and maintain a RACI of accountabilities for key stakeholders supporting the program.

　　Drive end-to-end infrastructure review to assess workflow, controls and MI to monitor journalling, surveillance and retention of authorized communication channels.

　　Participate in reviews relating to the communications surveillance program by partners including Audit and regulators.

　　Participate in industry discussions and client/vendor roundtables to stay current

　　Policy & Training

　　Owner of TDS business policy, aligned with Bank & regulatory requirements

　　Provide input and guidance into policies and procedures relating to communication use, surveillance and records retention requirements

　　Coordinate training on requirements and evolving guidelines

　　Governance & Escalation

　　Lead and participate in management updates and executive reporting, including the monthly Communications Surveillance forum

　　For technical issues, establish TDS escalation pathways and governance for awareness and remediation in accordance with issue severity

　　Enhance management of issues log, including criteria to assess severity of issues considering both technical and compliance/conduct perspectives

　　Establish MI, reporting and governance to ensure transparency

　　On business and market conduct issues, coordinate with Business, HR, Compliance and Legal to establish consistent protocols

　　Surveillance Platform Management

　　Coordinate with Technology, Business, Compliance on workflow functionality, scenario configuration and recalibration of surveillance parameters

　　Monitor performance of journaling, surveillance and retention tools

　　Understand and influence criteria for employee population for journaling and surveillance

　　Periodically assess program vs. risks to maintain best-in-class surveillance and retention to ensure efficient, holistic oversight of business and market conduct.

　　Drive strategic focus and actively manage surveillance systems, policies, and procedures to promote an effective program on a sustained basis

　　Country:

　　United States

　　Job Requirements:

　　Education & Experience:

　　Bachelors degree or progressive work experience in addition to experience below

　　7+ Years of related experience

　　Strong project management skills

　　Strong leadership, interpersonal and relationship-building skills are required

　　Excellent analytical skills

　　Excellent Microsoft Office skills in particular Excel

　　Presentation skills required

　　Strong team player and who can work in cross-organization situations

　　Highly effective written and oral communication skills; excellent organizational skills

　　Additional Requirements

　　Must be eligible for employment under regulatory standards applicable to the position .Hours:

　　40

　　Job Details:

　　Depth & Scope:

　　Oversees the development and execution of strategic planning for unit

　　Oversees program and project level forecasting and tracking

　　Directs the communication of financial policies and procedures

　　Manages monthly forecasting and client chargeback process

　　Oversees the annual budget process

　　Manages the headcount / resource process

　　Leads and oversees the end-to-end delivery of requirements throughout the lifecycle of large scale/complex projects or programs requiring a cohesive approach to broad business solutions with full traceability to realize project benefits

　　Provides advisory support, leadership direction and guidance to assigned Business Analyst resources, stakeholders an executives of the projects and/or program across multiple Lines of Business (LoB)

　　Inclusiveness:

　　Our Commitment to Diversity, Equity, and Inclusion

　　At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

　　EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

　　Accommodation

　　If you are a candidate with a disability and need accommodations to complete the application process, email the 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 application process.

　　How We're Helping Make an Impact in Communities

　　TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.

　　We look forward to hearing from you!

　　State:

　　New York

　　City:

　　New York

　　Qualifications:

　　Preferred Qualifications:

　　7 years+ experience in capital markets / financial services industry

　　Experience in communications surveillance and retention standards

　　Excellent written and verbal communication skills.

　　Strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions.

　　The ability to learn and adapt quickly

　　Able to build relationships and influence with partners across functions, at all levels of seniority, internally and externally – this is critical

　　Capable of working in a dynamic, potentially high-pressure environment

　　Self-motivated; able to operate independently with minimal direction with the judgement to know when issues should be escalated

　　Able to manage deadlines, multiple tasks and changing priorities.

　　Strong organisational skills and attention to detail

　　Strong personal integrity in dealing with confidential and sensitive information.

　　Strong familiarity with global regulators including CIRO, FINRA, CFTC, FCA, MAS

　　Proficient with MS Office Suite; experience with Behavox, SMARSH, REDS is an asset

　　People management experience is an asset

　　Work Location:

　　1 Vanderbilt Avenue TDS

　　Business Line:

　　TD Securities

　　Job Category - Primary:

　　Global Security & Investigations

　　Job Category(s):

　　Global Security & Investigations

　　State (Primary):

　　New York

　　City (Primary):

　　New York

　　Time Type:

　　Full Time

　　Employment Type:

　　Regular

　　Pay Range:

　　$200,000 - $250,000 annually

　　Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.