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

Job Information Location: New York, New York, United States of America Hours: 40 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 Responsibilities Consistently exercise discretion in managing correspondence, information and all matters of confidentiality;esc… Be knowledgeable of practices and procedures within your area of responsibility and keep abreast of emerging trends for that area. Protect the interests of the organization by identifying and managing risks, and escalating 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, and assess the effectiveness of programs, policies, or practices. Monitor service, productivity and assess efficiency levels within your function and implement continuous process or performance improvements where opportunities exist. Acquire and apply expertise in the discipline, providing 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 support functions including Technology and Operations. Build relationships with the Compliance Advisory team by working closely on regulatory requests and alert escalations. Coordinate requests to and from business partners and track and report on Compliance initiatives and programs. Prepare summaries, communications, reports and presentations for management, regulators, and other internal or external stakeholders. Proactively identify matters requiring additional review or escalation, and liaise with appropriate staff to resolve. Employee and Team Responsibilities Participate fully as a member of the team, supporting a positive work environment that promotes service to the business, quality, innovation and teamwork, and ensuring timely communication and/or escalation of issues. Network with 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 or escalations during monthly meetings and participate in discussion. Gain an understanding of new trade surveillance modules and surveillance tools. Keep current on emerging trends or developments and enhance knowledge of the business, related tools and techniques. Keep others informed and up to date about the status or progress of projects or other relevant information. Assist others in the completion and performance of work activities; provide training, coaching or guidance as appropriate. Contribute to the success of the team by providing assistance and fostering a fair, positive and equitable environment that supports a diverse workforce. Act as a brand ambassador for your business area or function and the bank, internally and/or externally. Senior Compliance Office Role Provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives. Works independently as a senior officer and may coach and educate others. Serves as a subject‑matter expert within the area, working closely with business partners, auditors and regulators. Education & Experience Bachelor’s degree or progressive work experience required. 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 Performing sedentary work, operating standard office equipment, and occasional standing or walking. No heavy lifting or repetitive strain expected. Benefits The Total Rewards package includes base salary, variable compensation, health and well‑being benefits, retirement programs, paid time off (vacation, flex, holiday), banking benefits, and career development opportunities. Equal Opportunity Employer 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. #J-18808-Ljbffr TD Securities (USA) LLC