The role involves managing correspondence, identifying high-risk activities, and escalating issues within the Equities Trade Surveillance team
Job Summary
The role involves managing correspondence, identifying high-risk activities, and escalating issues within the Equities Trade Surveillance team.
Candidates are expected to maintain confidentiality, monitor service productivity, and implement continuous process improvements aligned with risk appetite.
TD Securities offers a competitive total rewards package including base salary, variable compensation, health benefits, and career development opportunities.
Matching Summary
The role involves managing correspondence, identifying high-risk activities, and escalating issues 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
Regulatory compliance adherence
Risk identification and escalation
Nice-to-have
Strong stakeholder relationship building
Continuous process improvement mindset
Ability to present cases to teams
Cross-training in surveillance modules
Collaborative team environment support
Key Requirements
Bachelor's degree or progressive work experience
5-7 years related experience in compliance trade surveillance
Experience at US broker/dealer or investment bank
Knowledge of Equities/Exchange Traded Products regulation