Base: $100,000 - $135,000 usd; bonus/equity: not s...
Equities trade surveillance experience
Knowledge of trade lifecycle
Compliance risk management
The role involves monitoring and analyzing Equities and Exchange Traded Products trading activity to ensure compliance with regulatory requirements and internal policies
Job Summary
The role involves monitoring and analyzing Equities and Exchange Traded Products trading activity to ensure compliance with regulatory requirements and internal policies.
TD offers a comprehensive Total Rewards package including base salary, variable compensation, health benefits, retirement programs, and career development opportunities.
The team culture promotes service to the business, innovation, teamwork, and continuous learning with access to training, mentoring, and development programs.
Matching Summary
The role involves monitoring and analyzing Equities and Exchange Traded Products trading activity to ensure compliance with regulatory requirements and internal policies.
Salary
Base: $100,000 - $135,000 USD; Bonus/Equity: Not specified; Benefits: Health, retirement, paid time off, career development
Skills & Requirements
Must-have
Equities trade surveillance experience
Knowledge of trade lifecycle
Compliance risk management
Regulatory reporting and analysis
Collaboration with front office and support teams
Nice-to-have
Process and performance improvement
Cross training and knowledge sharing
Stakeholder relationship building
Mentoring and coaching others
Diversity and inclusion advocacy
Key Requirements
5-7 years related experience in compliance trade surveillance
Bachelor's degree or progressive work experience
Experience with Equities and Exchange Traded Products
Strong knowledge of trade lifecycle
Work experience at US broker/dealer or investment bank