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

TD•New York, NY

22h•$100,000 - $135,000

About The Position

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.

Requirements

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

Responsibilities

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
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
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