TD is committed to providing fair and equitable compensation and supports colleague development through training, mentorship, and career conversations
Job Summary
TD is committed to providing fair and equitable compensation and supports colleague development through training, mentorship, and career conversations.
The role involves analyzing trade alerts to detect violations, managing compliance risks, and collaborating with various stakeholders including front office teams and technology.
Employees are encouraged to contribute to a positive work environment, participate in team discussions, and act as brand ambassadors for the bank.
Matching Summary
TD is committed to providing fair and equitable compensation and supports colleague development through training, mentorship, and career conversations.
Skills & Requirements
Must-have
Equities trade surveillance
Risk management and escalation
Regulatory compliance monitoring
Data analysis and reporting
Stakeholder coordination
Process and performance improvement
Nice-to-have
Coaching and training new joiners
Cross-functional collaboration
Continuous learning and development
Positive team environment
Audit support and documentation
Key Requirements
Undergraduate degree
FINRA Certified Compliance Officer Program
3 to 5 years surveillance experience
Knowledge of US markets and regulations
Basic knowledge of Equities
Surveillance experience at peer firm or regulator preferred