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

TD Bank

New York, New York, United States
$100,000 - $135,000 usd; not specified; not specif...
Equities/exchange traded products surveillance
Trade lifecycle knowledge
Risk management and control
The TDS US Compliance team is looking for Associate-level candidates to join the Equities Trade Surveillance team with preferred 3-5 years of experience in surveillance of Equities/Exchange Traded Products trading and in-depth knowledge of the trade lifecycle

Job Summary

  • The TDS US Compliance team is looking for Associate-level candidates to join the Equities Trade Surveillance team with preferred 3-5 years of experience in surveillance of Equities/Exchange Traded Products trading and in-depth knowledge of the trade lifecycle.
  • Key accountabilities include exercising discretion in managing correspondence, monitoring service and productivity, conducting reporting and analysis, and adhering to internal policies and regulatory guidelines.
  • TD is committed to providing fair and equitable compensation opportunities, growth opportunities, and skill development, with a Total Rewards package reflecting investments in colleagues' financial, physical, and mental well-being.

Matching Summary

The TDS US Compliance team is looking for Associate-level candidates to join the Equities Trade Surveillance team with preferred 3-5 years of experience in surveillance of Equities/Exchange Traded Products trading and in-depth knowledge of the trade lifecycle.

Salary

$100,000 - $135,000 USD; Not specified; Not specified

Skills & Requirements

Must-have

  • Equities/Exchange Traded Products surveillance
  • Trade lifecycle knowledge
  • Risk management and control
  • Regulatory guidelines adherence
  • Stakeholder relationship building

Nice-to-have

  • Positive work environment promotion
  • Teamwork and collaboration
  • Continuous process improvement
  • Brand ambassador for the bank

Key Requirements

  • 5-7 Years of related experience
  • Bachelors degree or progressive work experience
  • US broker/dealer, investment bank or associated regulator experience

Work Rights

Not specified

Tailored Resume

Cover Letter