Trade Surveillance Associate (Compliance)

TD Securities (USA) LLC; New York (NY); On-site; USD 100,000 - 150,000; Full time

Job summary

Join a forward-thinking firm as a Trade Surveillance Associate in New York, where you'll play a crucial role in ensuring compliance within the financial markets. This position is perfect for someone with a keen eye for detail and a strong background in trade surveillance across various financial products. You'll collaborate with a dynamic team, leveraging your expertise to manage risks and enhance compliance practices. This is an exciting opportunity to contribute to a culture of integrity and excellence in a leading financial institution, while enjoying growth opportunities and a supportive work environment.

Benefits

Health Insurance

Retirement Plan

Professional Development

Flexible Work Hours

Paid Time Off

Qualifications

• 3-5 years of experience in trade surveillance for various financial products.
• Knowledge of compliance practices and regulatory requirements.

Responsibilities

• Monitor and analyze trade activities for compliance with regulations.
• Build relationships with stakeholders and coordinate compliance initiatives.

Skills

Trade Surveillance

Risk Management

Analytical Skills

Communication Skills

Relationship Management

Education

Bachelor's degree

Job description

Trade Surveillance Associate (Compliance)

Work Location: New York, New York, United States of America

Hours: 40

Line of Business: Compliance

Pay Detail: $100,000 - $150,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD.

Job Description:

The TDS US Compliance team is looking for Associate candidates to join the trade surveillance team. Preferred 3-5 years of experience in surveillance of either Fixed Income Products, Foreign Exchange and Commodities, Equities Options and Futures and/or Communications.

KEY ACCOUNTABILITIES

SHAREHOLDER

1. Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate.
2. Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area.
3. Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk activities as necessary.
4. Conduct reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/policies/practices.
5. Monitor service, productivity and assess efficiency levels within own function and implement continuous process/performance improvements where opportunities exist.
6. Acquire and apply expertise in the discipline, provide guidance and direction to others.
7. Identify, recommend and effectively execute standard practices applicable to the discipline.
8. Adhere to internal policies/procedures and applicable regulatory guidelines.
9. Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts.
10. Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.

STAKEHOLDERS

1. Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations.
2. Build relationships with Compliance Advisory team by working closely with them on regulatory requests and alert escalations.
3. Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of Compliance function initiatives and programs.
4. Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders.
5. Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate.

EMPLOYEE / TEAM

1. Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication and/or escalation of issues.
2. Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence.
3. Provide coverage to other colleagues for surveillance modules covered during cross training sessions.
4. Volunteer to present cases/escalations during monthly meeting and team members should participate in the discussion.
5. Gain an understanding of new trade surveillance modules and surveillance tools.
6. Keep current on emerging trends/developments and enhance knowledge of the business, related tools and techniques.
7. Keep others informed and up to date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities.
8. Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
9. Contribute to a fair, positive and equitable environment that supports a diverse workforce.
10. Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.

Depth & Scope:

• Works independently as the senior officer and may coach and educate others.
• Individual contributor role providing specialized expertise or may lead a small team of specialists.
• Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators.
• Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information.
• Provides day to day interaction and support to Management.
• Oversees/executes and/or performs tasks from end to end.
• Focuses on short to mid-term issues (e.g. monthly-quarterly).

Education & Experience:

• Bachelors degree or progressive work experience.
• 5-7 Years of related experience.

Physical Requirements:

• Domestic Travel – Occasional.
• International Travel – Never.
• Performing sedentary work – Continuous.
• Performing multiple tasks – Continuous.
• Operating standard office equipment - Continuous.
• Responding quickly to sounds – Occasional.
• Sitting – Continuous.
• Standing – Occasional.
• Walking – Occasional.
• Moving safely in confined spaces – Occasional.
• Lifting/Carrying (under 25 lbs.) – Occasional.
• Lifting/Carrying (over 25 lbs.) – Never.
• Squatting – Occasional.
• Bending – Occasional.
• Kneeling – Never.
• Crawling – Never.
• Climbing – Never.
• Reaching overhead – Never.
• Reaching forward – Occasional.
• Pushing – Never.
• Pulling – Never.
• Twisting – Never.
• Concentrating for long periods of time – Continuous.
• Applying common sense to deal with problems involving standardized situations – Continuous.
• Reading, writing and comprehending instructions – Continuous.
• Adding, subtracting, multiplying and dividing – Continuous.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.

Additional Information:
We’re delighted that you’re considering building a career with TD.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at [e-mail].

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.