Trade Surveillance Associate - Equities/Exchange Traded Products (Compliance) - TD Securities (US)

Work Location:

Hours:

Line of Business:

Pay Detail:

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. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

The TDS US Compliance team is looking for Associate-level candidates to join the Equities Trade Surveillance team.  Preferred 3-5 years of experience in surveillance of Equities/Exchange Traded Products trading and in-depth knowledge of the trade lifecycle.

KEY ACCOUNTABILITIES

SHAREHOLDER
•    Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
•    Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
•    Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk activities as necessary
•    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
•    Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exist
•    Acquire and apply expertise in the discipline, provide guidance and direction to others
•    Identify, recommend and effectively execute standard practices applicable to the discipline
•    Adhere to internal policies/procedures and applicable regulatory guidelines
•    Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
•    Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

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

EMPLOYEE / TEAM
•    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
•    Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence
•    Provide coverage to other colleagues for surveillance modules covered during cross training sessions
•    Volunteer to present cases/escalations during monthly meeting and team members should participate in the discussion
•    Gain an understanding of new trade surveillance modules and surveillance tools
•    Keep current on emerging trends/ developments and enhance knowledge of the business, related tools and techniques
•    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
•    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
•    Contribute to a fair, positive and equitable environment that supports a diverse workforce
•    Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.

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 working with Equities/Exchange Traded Products in Compliance trade surveillance, trade settlements/regulation or in a trading role at a US broker/dealer, investment bank or associated regulator
• Strong knowledge of the trade lifecycle and Equities/Exchange Traded Products

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• 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. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple.  Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

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. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more
 

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected].  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.