The role involves managing correspondence, identifying risks, and escalating non-standard high-risk activities within the Equities Trade Surveillance team
Job Summary
The role involves managing correspondence, identifying risks, and escalating non-standard high-risk activities within the Equities Trade Surveillance team.
Candidates will be expected to monitor service levels, conduct meaningful analysis, and implement continuous improvements to ensure regulatory compliance.
TD Securities offers a competitive total rewards package including base salary, variable compensation, and comprehensive health and well-being benefits.
Matching Summary
The role involves managing correspondence, identifying risks, and escalating non-standard high-risk activities within the Equities Trade Surveillance team.
Salary
Base: $100,000 - $135,000 USD; Bonus/Equity: Eligible for cash and/or equity incentive awards; Benefits: Health, retirement, paid time off, and banking discounts
Skills & Requirements
Must-have
3-5 years trade surveillance experience
Equities and ETP trading knowledge
In-depth trade lifecycle understanding
Nice-to-have
Strong stakeholder relationship building
Continuous process improvement mindset
Ability to coach and guide team members
Key Requirements
Bachelor's degree or progressive work experience
5-7 years of related experience in compliance trade surveillance
Experience at a US broker/dealer, investment bank, or regulator