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

Job Summary Work Location: New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 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. Responsibilities Shareholder Responsibilities Exercise discretion in managing correspondence, information and confidential matters; escalating issues when appropriate. Maintain knowledge of practices and procedures within the own area and stay abreast of emerging trends. Protect the organization’s interests by identifying and managing risks and escalating high‑risk activities. Conduct reporting and meaningful analysis at functional or enterprise level, drawing conclusions and making recommendations. Monitor service, productivity and assess efficiency, implementing continuous process/performance improvements where opportunities exist. Acquire and apply trade surveillance expertise, providing guidance to others. Identify, recommend and execute standard practices applicable to the discipline. Adhere to internal policies, procedures and regulatory guidelines. Keep abreast of emerging regulatory requirements and assess potential impacts. Maintain a culture of risk management and control aligned with risk appetite. Stakeholder Responsibilities Familiarize with key stakeholders including front office teams and support functions such as Technology and Operations. Build relationships with Compliance Advisory team by working closely on regulatory requests and alert escalations. Coordinate requests to and from business partners and track and report compliance initiatives. Prepare summaries, communications, reports and presentations for management, regulators and other stakeholders. Proactively identify matters requiring additional review, escalation and liaise with appropriate staff to resolve. Employee / Team Responsibilities Participate fully as a team member, support a positive work environment, and ensure timely communication and escalation of issues. Network with colleagues in Global Surveillance and wider Compliance teams and showcase presence. Provide coverage to other colleagues for surveillance modules during cross‑training sessions. Volunteer to present cases/escalations during monthly meetings and participate in discussion. Gain understanding of new trade surveillance modules and tools; keep current on emerging trends and enhance knowledge. Keep others informed about status and progress of projects and day‑to‑day activities. Contribute to team success by assisting others, providing training, coaching or guidance as appropriate. Contribute to a fair, positive and equitable environment supporting a diverse workforce. Act as a brand ambassador for your business area/function both internally and externally. Qualifications 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/regulation or in a trading role at a US broker/dealer, investment bank or regulator. Strong knowledge of the trade lifecycle and Equities/Exchange‑Traded Products. Physical Requirements Performing sedentary work – 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. Bending – Occasional. Reaching overhead – Never. Reaching forward – Occasional. Pushing – Never. Pulling – Never. Twisting – Never. Concentrating for long periods of time – Continuous. Reading, writing and comprehending instructions – Continuous. Adding, subtracting, multiplying and dividing – Continuous. Equal Opportunity & 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 Securities (USA) LLC