Trade Surveillance Associate - Equities/Exchange Traded Products (Compliance) - TD Securities (US)

Trade Surveillance Associate - Equities/Exchange Traded Products (Compliance) - TD Securities (US) Work Location : New York, New York, United States of America Hours : 40 Line of Business : Compliance Pay Detail : $100,000 - $130,000 USD TD 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 The TDS US Compliance team is looking for Associate-level candidates to join the Equities Trade Surveillance team. Preferred 3‑5 years of experience in surveillance of Equities/Exchange Traded Products trading and in‑depth knowledge of the trade lifecycle. Key Accountabilities Shareholder Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; elevate issues where appropriate Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area Protect the interests of the organization – identify and manage risks, and elevate high‑risk activities as necessary Conduct reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies or practices Monitor service, productivity and assess efficiency levels within own function and implement continuous process or performance improvements where opportunities exist Acquire and apply expertise in the discipline, provide guidance and direction to others Identify, recommend and effectively execute standard practices applicable to the discipline Adhere to internal policies, procedures and applicable regulatory guidelines Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite Stakeholders Familiarize with key stakeholders including front‑office teams as well as Technology and Operations Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations Coordinate requests to and from business partners and coordinate tracking and reporting of Compliance initiatives and programs Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate Employee / Team Participate 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 issues Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence Provide coverage to other colleagues for surveillance modules during cross‑training sessions Volunteer to present cases or escalations during monthly meetings; team members should participate in the discussion Gain an understanding of new trade surveillance modules and surveillance tools Keep current on emerging trends, developments and enhance knowledge of the business, related tools and techniques Keep others informed and up to date about status, progress of projects or all relevant or useful information related to day‑to‑day activities Contribute to the success of the team by willingly assisting others in completing and performing work activities; provide training, coaching and/or guidance as appropriate Contribute to a fair, positive and equitable environment that supports a diverse workforce Act as a brand ambassador for the business area or function and the bank, both internally and/or externally Depth & Scope Works independently as the senior officer and may coach and educate others Individual contributor role providing specialized expertise or may lead a small team of specialists Considered a subject matter expert within a given area working closely with business partners, auditors and regulators Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information Provides day‑to‑day interaction and support to Management Oversees or executes and/or performs tasks from end to end Focuses on short to mid‑term issues (e.g., monthly to quarterly) Education & Experience Bachelor’s degree or progressive work experience 5‑7 years of related experience working with Equities/Exchange Traded Products in compliance trade surveillance, trade settlements or regulation, or in a trading role at a US broker or dealer, investment bank or associated regulator Strong knowledge of the trade lifecycle and Equities/Exchange Traded Products Physical Requirements Domestic Travel – Occasional International Travel – Never Performing sedentary work – Continuous Performing multiple tasks – Continuous Operating standard office equipment – Continuous Responding quickly to sounds – Occasional Sitting – Continuous Standing – Occasional Walking – Occasional Moving safely in confined spaces – Occasional Lifting/Carrying (under 25 lbs.) – Occasional Lifting/Carrying (over 25 lbs.) – Never Squatting – Occasional Bending – Occasional Kneeling – Never Crawling – Never Climbing – Never Reaching overhead – Never Reaching forward – Occasional Pushing – Never Pulling – Never Twisting – Never Concentrating for long periods – Continuous Applying common sense to deal with problems involving standardized situations – Continuous Reading, writing and comprehending instructions – Continuous Adding, subtracting, multiplying and dividing – Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities and duties are considered essential functions for ADA purposes. 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.” #J-18808-Ljbffr Mission+