Information Barrier Surveillance Lead Analyst

Work Location:New York, New York, United States of AmericaHours:40Line of Business:CompliancePay Detail:$150,000 - $180,000 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:KEY ACCOUNTABILITIESSHAREHOLDERConsistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriateBe knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional areaProtect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk activities as necessaryConduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practicesMonitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities existAcquire and apply expertise in the discipline, provide guidance and direction to othersIdentify, recommend and effectively execute standard practices applicable to the disciplineAdhere to internal policies/procedures and applicable regulatory guidelinesKeep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impactsMaintain a culture of risk management and control, supported by effective processes in alignment with risk appetiteSTAKEHOLDERSFamiliarize with key stakeholders including the front office teams as well as the support functions including Technology and OperationsBuild relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalationsCo-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programsPrepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholdersProactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriateEMPLOYEE / TEAMParticipate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication and/or escalation of issuesNetwork with other colleagues in Global Surveillance and the wider Compliance teams and showcase presenceProvide coverage to other colleagues for surveillance modules covered during cross training sessionsVolunteer to present cases/escalations during monthly meeting and team members should participate in the discussionGain an understanding of new trade surveillance modules and surveillance toolsKeep current on emerging trends/ developments and enhance knowledge of the business, related tools and techniquesKeep others informed and up to date about the status / progress of projects and / or all relevant or useful information related to day-to-day activitiesContribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriateContribute to a fair, positive and equitable environment that supports a diverse workforceAct as a brand ambassador for your business area/function and the bank, both internally and/or externallyBREADTH & DEPTHConduct daily and periodic surveillance reviews related to Information barrier breaches, Restricted and Grey (Watch) List activity, Over the Wall Surveillance and misuse of Material Nonpublic Information (MNPI)Ensure T+1 timeline for trade surveillance is adhered to, except in any special circumstancesAnalyze alerts and relevant data to determine whether a trade involves violations of law, rules and regulations and/or firm policiesFamiliarize with the emerging trends pertaining to regulatory changes and remain updated on trends related to Information Barrier surveillance (e.g., market abuse, regulatory expectations, etc).Proactively identify matters requiring additional review and when to escalate to Surveillance Management and Advisory Compliance partnersDevelop a thorough understanding of multiple market manipulation surveillance patterns and continuously look for efficiencies and enhancements to the workIdentify the gaps and improvements such as how the surveillance patterns can be enhanced or calibrated more effectivelyUpdate the case management tool for every escalation and follow-up on pending open items on a regular basis, consistent with department procedures and regulatory expectations.Coach and educate new joiners to drive compliance training, leveraging various tools such as recent regulatory fines to using complex exceptions that required further investigationExecute on more complex and non-standard requests and escalationsEngage in consultation for calibration and bringing ideas or proof of concept that can improve the reviewsSupport audit related activities by providing documentation and relevant subject matter expertiseParticipate in surveillance projects that are critical to the department and pertaining to Trade SurveillanceParticipate and contribute to Surveillance department meetings, monthly touchpoints, bi-weekly Supervision and Surveillance meetingsWork closely with the other stakeholders, such as Advisory Compliance, the Trading desks and Technology.Provide support in enhancing the surveillance system through the Surveillance departments calibration process, including reviewing alerts, risk scoring of alerts, and possible parameter changesProvide support to the regional Compliance teams by ensuring they have all the pertinent information to address their remediation of regulatory risk specific to their regionAnalyze the data source and be able to draw conclusions to meet review requirementsUnderstand the trade flow from start to finish, including booking system, files being used for alert generationEXPERIENCE & EDUCATIONUndergraduate degree requiredRelevant professional designations such as FINRA Certified Compliance Officer ProgramBasic knowledge of trade surveillance is required5+ years of experience trade surveillance with specific focus on Information Barrier Surveillance preferredSurveillance experience at peer firm or regulator is preferredKnowledge of the US markets and regulations, particularly in relation to Information Barrier Surveillance (knowledge of global markets is a plus)*General Job DescriptionThe VP 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:Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialistsSubject matter expert for a functional areaKey contact for business management, regulators and external/internal auditors, dealing with non-routine informationFocuses on short to mid- range planning (e.g. 6-12 months)Manages regulatory reviews including inquiries, audits, and examsEducation & Experience: Bachelors degree or progressive work experience5-7 Years of related experienceWho 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 PackageOur 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 moreAdditional 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 & OnboardingWe 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 View email address on click.appcast.io. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.SummaryLocation: New York, New YorkType: Full time