Compliance Governance & Operations Manager

TD Bank

Dublin, Ireland
Trade surveillance equities
Analyze alerts and data
Market manipulation surveillance patterns
Analyze alerts and relevant data to determine whether a trade involves violations of law, rules and regulations and/or firm policies

Job Summary

  • Analyze alerts and relevant data to determine whether a trade involves violations of law, rules and regulations and/or firm policies.
  • Familiarize with the emerging trends pertaining to regulatory changes and remain updated on trends related to Equities trade surveillance.
  • We’re committed to providing fair and equitable compensation to all our colleagues.

Matching Summary

Analyze alerts and relevant data to determine whether a trade involves violations of law, rules and regulations and/or firm policies.

Skills & Requirements

Must-have

  • Trade surveillance Equities
  • Analyze alerts and data
  • Market manipulation surveillance patterns
  • Case management tool updates
  • Regulatory requirements
  • Risk management and control

Nice-to-have

  • Positive work environment
  • Teamwork and collaboration
  • Brand ambassador for business area
  • Continuous process improvements

Key Requirements

  • Undergraduate degree required
  • 5+ years of experience
  • Equities, Options and Futures surveillance preferred
  • Peer firm or regulator surveillance experience preferred
  • Knowledge of US markets and regulations

Work Rights

Not specified

Tailored Resume

Cover Letter