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

About this role

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; escalate 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 escalate 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

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.

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: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% • Domestic Travel – Occasional • International Travel – Never • Performing sedentary work – Continuous • Performing multiple tasks – Continuous • Operati

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