Compliance Governance & Operations Manager

TD

Dublin, Ireland
Not specified; open dialogue encouraged with hr te...
Equities trade surveillance experience
Market abuse pattern analysis
Regulatory compliance adherence
This role focuses on managing trade surveillance for Equities to identify violations of laws, rules, and firm policies

Job Summary

  • This role focuses on managing trade surveillance for Equities to identify violations of laws, rules, and firm policies.
  • The position requires analyzing alerts, calibrating surveillance patterns, and escalating high-risk activities to ensure regulatory compliance.
  • TD offers a competitive total rewards package including health benefits, paid time off, and extensive career development opportunities.

Matching Summary

This role focuses on managing trade surveillance for Equities to identify violations of laws, rules, and firm policies.

Salary

Not specified; Open dialogue encouraged with HR Team regarding pay details

Skills & Requirements

Must-have

  • Equities trade surveillance experience
  • Market abuse pattern analysis
  • Regulatory compliance adherence
  • Alert investigation and escalation
  • Risk management and control culture

Nice-to-have

  • Cross-training on surveillance modules
  • Team coaching and mentoring skills
  • Continuous process improvement mindset
  • Stakeholder relationship building
  • Innovation in surveillance tools

Key Requirements

  • Undergraduate degree required
  • 5+ years Equities surveillance experience
  • Knowledge of US markets and regulations
  • FINRA Certified Compliance Officer Program preferred
  • Experience at peer firm or regulator preferred

Work Rights

Not specified

Tailored Resume

Cover Letter