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

TD Ameritrade

New York, New York, United States of America
Base: $100,000 - $135,000 usd; bonus/equity: eligi...
3-5 years trade surveillance experience
Equities and etp trading knowledge
In-depth trade lifecycle understanding
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 are expected to conduct meaningful analysis using reporting tools to assess program effectiveness and recommend improvements.
  • 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 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, PTO, 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

  • Experience in US broker/dealer environment
  • Ability to escalate high-risk activities
  • Strong stakeholder relationship building

Key Requirements

  • Bachelor's degree or progressive work experience
  • 5-7 years related experience in compliance trade surveillance
  • Knowledge of Equities/Exchange Traded Products regulation

Work Rights

Not specified

Tailored Resume

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