Regulatory & Supervisory Oversight Associate

TD Securities; New York (NY); On-site; USD 113,000 - 138,000; Full time

Job summary

TD Securities in New York seeks an Associate to support Regulatory and Supervisory Management across Global Markets. You will help supervise market conduct, documentation, and regulatory reporting while coordinating with Compliance and Legal teams to address inquiries.

The role requires a Bachelor’s degree and 3+ years of related experience, with familiarity of surveillance tools like Behavox, Smarsh and Social Patrol. Base salary reflects market standards.

Qualifications

• Bachelor's degree required.
• 3+ years of related experience.
• Experience with regulatory reviews and surveillance in capital markets is preferred.

Responsibilities

• Support supervisory reviews related to market conduct and regulatory reporting.
• Prepare Monthly Supervision packs and document conclusions.
• Coordinate with Compliance, Operations and Global Markets supervisors to respond to inquiries.

Skills

Regulatory knowledge

Analytical skills

Communication skills

Team collaboration

Education

Bachelor's degree

Tools

Behavox

Smarsh

Social Patrol

Job description

TD Securities in New York seeks an Associate to support Regulatory and Supervisory Management across Global Markets. You will help supervise market conduct, documentation, and regulatory reporting while coordinating with Compliance and Legal teams to address inquiries.

The role requires a Bachelor’s degree and 3+ years of related experience, with familiarity of surveillance tools like Behavox, Smarsh and Social Patrol. Base salary reflects market standards.