Compliance Governance & Operations Manager

TD

Dublin, Ireland
Base: not specified; bonus/equity: not specified; ...
Trade surveillance of equities
Risk management and escalation
Regulatory compliance monitoring
TD is committed to providing fair and equitable compensation and supports colleague development through training, mentorship, and career conversations

Job Summary

  • TD is committed to providing fair and equitable compensation and supports colleague development through training, mentorship, and career conversations.
  • The role involves analyzing trade alerts, managing compliance risks, and collaborating closely with front office, technology, and compliance advisory teams to ensure regulatory adherence.
  • Employees are encouraged to contribute to a positive work environment, engage in continuous learning, and support the success of the team through coaching and knowledge sharing.

Matching Summary

TD is committed to providing fair and equitable compensation and supports colleague development through training, mentorship, and career conversations.

Salary

Base: Not specified; Bonus/Equity: Not specified; Benefits: Health and well-being benefits, paid time off, career development, reward and recognition programs

Skills & Requirements

Must-have

  • Trade surveillance of Equities
  • Risk management and escalation
  • Regulatory compliance monitoring
  • Data analysis and reporting
  • Stakeholder relationship management
  • Process and performance improvement
  • Use of surveillance tools and case management

Nice-to-have

  • Coaching and training new joiners
  • Cross-functional collaboration
  • Participation in audit and projects
  • Positive team environment promotion
  • Brand ambassador for business area
  • Knowledge of US market regulations

Key Requirements

  • Undergraduate degree required
  • FINRA Certified Compliance Officer Program
  • 5+ years surveillance experience
  • Knowledge of Equities, Options, Futures
  • Experience with US market regulations

Work Rights

Not specified

Tailored Resume

Cover Letter