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

Work Location New York, New York, United States of America Hours 40 hours per week Line Of Business Compliance Pay Detail

$100,000 - $130,000 USD

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 Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escape 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 escape non-standard, 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/ practices Monitor service, productivity and assess efficiency levels within own function and implement continuous process / 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 the front office teams as well as the support functions including Technology and Operations Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function 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 covered during cross training sessions Volunteer to present cases/escalations during monthly meeting and 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 the status / progress of projects and / or all relevant or useful information related to day-to-day activities Contribute 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 appropriate Contribute to a fair, positive and equitable environment that supports a diverse workforce Act as a brand ambassador for your business area/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/or 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/executes and/or performs tasks from end to end Focuses on short to mid-term issues (e.g. monthly-quarterly) Education & Experience Bachelors degree or progressive work experience 5-7 Years of related experience working with Equities/Exchange Traded Products in Compliance trade surveillance, trade settlements/regulation or in a trading role at a US broker/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 of time – Continuous Applying common sense to deal with problems involving standardized situations – Continuous Reading, writing and comprehending instructions – Continuous Adding, subtracting, multiplying and dividing – Continuous Benefits The Total Rewards package includes base salary, variable compensation/incentive awards, health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development and recognition. 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. #J-18808-Ljbffr TD