Lead Information Barrier Surveillance Analyst

TD; New York (NY); Presencial; USD 150.000 - 180.000; Jornada completa

Descripción de la vacante

TD Securities seeks a VP Compliance Trade Surveillance to lead a specialized team responsible for monitoring surveillance across information barrier controls and regulatory compliance. The role emphasizes risk management, data analysis, and collaboration with front office, technology, and operations to ensure timely and effective surveillance processes.

The position requires a strong background in trade surveillance, knowledge of US market regulations, and experience in coordinating regulatory

Formación

• 5+ years of experience in trade surveillance with focus on Information Barrier Surveillance
• Basic knowledge of trade surveillance
• Knowledge of the US markets and regulations related to Information Barrier Surveillance
• Strong analytical and reporting skills

Responsabilidades

• Lead surveillance reviews and assess regulatory compliance within the team
• Analyze alerts and data to identify violations of laws, rules and firm policies
• Coordinate with front office, technology, and operations on surveillance initiatives
• Prepare summaries, reports and presentations for management and regulators
• Develop and implement improvements to surveillance processes and controls
• Act as SME for information barrier surveillance and related regulatory requirements

Conocimientos

Trade surveillance knowledge

Regulatory compliance understanding

Stakeholder communication

Educación

Undergraduate degree

FINRA Certified Compliance Officer Program

Descripción del empleo

TD Securities seeks a VP Compliance Trade Surveillance to lead a specialized team responsible for monitoring surveillance across information barrier controls and regulatory compliance. The role emphasizes risk management, data analysis, and collaboration with front office, technology, and operations to ensure timely and effective surveillance processes.

The position requires a strong background in trade surveillance, knowledge of US market regulations, and experience in coordinating regulatory