Partnerships Lead – Law Schools
Harvey
Compliance Manager, Trade Surveillance – Portfolio Management & Surveillance Initiatives
TD
full-time
Posted on:
Location Type: Office
Location: New York City • New York • 🇺🇸 United States
Visit company websiteSalary
💰 $140,000 - $180,000 per year
Job Level
SeniorLead
About the role
- Maintain TDS' compliance surveillance framework and ensure alignment with global regulatory expectations
- Manage large surveillance projects (e.g., remediation, implementing new surveillance tools) and develop clear deliverables, milestones, and project plans
- Prepare status updates on projects and the state of the surveillance program for senior governance and Boards
- Lead surveillance oversight/governance committees for Trade Surveillance and enhance TDS Surveillance reporting
- Provide Management Information, reporting, and support to ensure surveillance operational issues are managed and reported
- Track and manage regulatory and audit findings related to surveillance and oversee remediation progress with key stakeholders
- Coordinate surveillance "read across" reviews, root cause analysis, identification of themes and emerging risks, and report findings/recommendations
- Ensure departmental surveillance procedures are timely and accurately updated
- Respond to regulatory inquiries, requests for data, and exam inquiries related to Trade Surveillance
- Lead preparation of summaries, presentations, briefing notes, and other documentation for senior governance and Boards
- Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency across Global TDS Surveillance
- Set "tone at the top" and promote a strong governance & control environment; attract, develop and retain talent
- Manage regulatory reviews including inquiries, audits, and exams and act as key contact for business management, regulators and auditors
Requirements
- JD or MBA degree preferred
- Bachelor's degree with progressive work experience
- Minimum 7+ Years of related experience (in Compliance)
- 10+ years of relevant industry and management experience in Surveillance preferred (GSIB experience preferred)
- Experience managing complex regulatory remediation related to Trade Surveillance programs
- Familiarity with regulations and compliance strategies and risk management
- Expertise in surveillance, change management, project management and operations
- People leadership and management experience focused on talent development and coaching
- Strong verbal and written communication skills, including public speaking/presentation and well developed listening and negotiation skills
- Ability to work in a fast-paced environment and manage multiple priorities
- Ability to operate in an evolving, sometimes ambiguous, matrixed environment
- Strategic thinker with excellent judgement
- Demonstrated ability to identify regulatory risks and propose practical solutions
- Demonstrated ability to work across teams globally and build effective working relationships
- Advanced level of financial and strategic acumen
Benefits
- Base pay and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
- 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 training programs
- Online learning platform and mentoring programs
- Training & onboarding
- Reward and recognition
ATS Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
regulatory remediationtrade surveillanceproject managementchange managementoperationsrisk managementsurveillancedata analysisroot cause analysisreporting
Soft skills
people leadershiptalent developmentcoachingverbal communicationwritten communicationpublic speakingnegotiationstrategic thinkingjudgementrelationship building
Certifications
JDMBA
