Trade Surveillance Associate - Equities/exchange Traded Products (compliance) - Td Securities (us)

TD Securities

New York, New York, United States of America
Base: $100,000 - $135,000 usd; bonus/equity: eligi...
3-5 years equities surveillance experience
In-depth knowledge of trade lifecycle
Exchange traded products trading expertise
The role involves managing correspondence, identifying high-risk activities, and escalating non-standard issues within the Equities Trade Surveillance team

Job Summary

  • The role involves managing correspondence, identifying high-risk activities, and escalating non-standard issues within the Equities Trade Surveillance team.
  • Candidates are expected to maintain a culture of risk management while keeping abreast of emerging regulatory trends and requirements.
  • TD 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 non-standard 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, PTO, and banking discounts included

Skills & Requirements

Must-have

  • 3-5 years Equities surveillance experience
  • In-depth knowledge of trade lifecycle
  • Exchange Traded Products trading expertise
  • Regulatory guideline adherence
  • Risk identification and escalation

Nice-to-have

  • Continuous process improvement mindset
  • Strong relationship building skills
  • Ability to present cases to teams
  • Cross-training willingness
  • Diverse workforce 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
  • Strong knowledge of Equities/ETP trade lifecycle

Work Rights

Not specified

Tailored Resume

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