Senior Compliance & Surveillance Lead

TD; New York (NY); On-site; USD 120,000 - 145,000; Full time

Job summary

TD Securities’ Global Compliance Surveillance team seeks a Associate to support regulatory oversight of Trade and Communications Surveillance. You will coordinate governance inputs, prepare reporting, and help manage initiatives while partnering with Compliance, Risk, Technology and other stakeholders.

The role requires a Bachelor’s degree and ~4+ years of experience in compliance or surveillance, with strong communication and organizational skills in a fast-paced environment.

Qualifications

• 4+ years of relevant experience in Compliance, Surveillance, Risk, or related fields.
• Experience at a Big Four firm preferred.
• Strong written and verbal communication skills.

Responsibilities

• Support surveillance oversight and governance by coordinating inputs and reporting.
• Maintain deliverables, milestones, and project plans for regulatory initiatives and remediation activities.
• Track issues and escalate risks or delays to senior team members.

Skills

Regulatory compliance

Surveillance experience

Project coordination

Education

Bachelor’s degree in business, finance, risk, compliance, or a related field

Job description

TD Securities’ Global Compliance Surveillance team seeks a Associate to support regulatory oversight of Trade and Communications Surveillance. You will coordinate governance inputs, prepare reporting, and help manage initiatives while partnering with Compliance, Risk, Technology and other stakeholders.

The role requires a Bachelor’s degree and ~4+ years of experience in compliance or surveillance, with strong communication and organizational skills in a fast-paced environment.