Senior Trade Surveillance & Compliance Lead

TD; New York (NY); Presencial; USD 120.000 - 145.000; Jornada completa

Descripción de la vacante

TD Securities in New York is seeking an Associate-level professional to join the Trade Surveillance team focused on Communications. You will monitor communications, assess risk, and coordinate with Compliance and business partners to ensure regulatory adherence.

The role requires 5–7 years of related experience in surveillance and a Bachelor’s degree, with a strong emphasis on risk assessment, reporting, and cross-functional collaboration.

Formación

• Undergraduate degree or progressive work experience required.
• 5–7 years of related experience in compliance/surveillance or a regulator environment preferred.
• Strong understanding of regulatory requirements and risk governance.

Responsabilidades

• Conduct surveillance reviews of communications for regulatory compliance.
• Prepare summaries and reports for management, regulators, and internal stakeholders.
• Identify, escalate and resolve risks and potential non-compliance issues.
• Collaborate with front office, technology, and operations teams to ensure effective controls.

Conocimientos

Discretion

Risk management

Regulatory compliance

Surveillance

Stakeholder management

Educación

Bachelor's degree

Descripción del empleo

TD Securities in New York is seeking an Associate-level professional to join the Trade Surveillance team focused on Communications. You will monitor communications, assess risk, and coordinate with Compliance and business partners to ensure regulatory adherence.

The role requires 5–7 years of related experience in surveillance and a Bachelor’s degree, with a strong emphasis on risk assessment, reporting, and cross-functional collaboration.