Senior Compliance & Surveillance Lead

TD; New York (NY); Presencial; USD 120 000 - 145 000; Tempo integral

Resumo da oferta

TD Securities is seeking an Associate in the Global Compliance Surveillance group in New York to support Trade and Communications Surveillance initiatives. You will coordinate governance reporting, track milestones, and collaborate with Surveillance, Compliance, Technology and other stakeholders to ensure well-governed surveillance programs.

The role requires a Bachelor’s degree and 4+ years of relevant experience in Compliance, Surveillance, Risk, or related fields, with preference for exposure

Qualificações

• Bachelor's degree or progressive work experience.
• 5-7 Years of related experience.
• Experience at a Big Four firm; Trade or Communications Surveillance experience at a financial institution is preferred.
• Familiarity with compliance, risk management, surveillance, change management, project management, or operational processes.

Responsabilidades

• Support surveillance oversight and governance by coordinating inputs and reporting.
• Coordinate deliverables, milestones, and project plans for regulatory initiatives and surveillance deployments.
• Assist with regulatory responses, data requests, and examinations.
• Draft summaries and presentations for senior governance and regulators.
• Develop ideas to improve productivity and operational efficiency across surveillance.

Conhecimentos

Regulatory compliance

Surveillance

Risk management

Project coordination

Stakeholder management

Communication skills

Formação académica

Bachelor's degree or progressive work experience

5-7 Years of related experience

Descrição da oferta de emprego

TD Securities is seeking an Associate in the Global Compliance Surveillance group in New York to support Trade and Communications Surveillance initiatives. You will coordinate governance reporting, track milestones, and collaborate with Surveillance, Compliance, Technology and other stakeholders to ensure well-governed surveillance programs.

The role requires a Bachelor’s degree and 4+ years of relevant experience in Compliance, Surveillance, Risk, or related fields, with preference for exposure