TD Securities
Trade Surveillance Associate - Fixed Income (Compliance) - TD Securities (US)
TD Securities, New York, New York, us, 10261
Job Title
Trade Surveillance Associate - Fixed Income (Compliance) – TD Securities (US)
Work Location New York, New York, United States of America
Hours 40
Line Of Business Compliance
Pay Detail USD $100,000 - $135,000
Job Description The TDS US Compliance team is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade surveillance of Fixed Income Products, with relevant knowledge of trade lifecycle and capital markets business.
Key Accountabilities – Shareholder
Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; elevate issues when necessary.
Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area.
Protect the interests of the organization – identify and manage risks, and elevate non‑standard, high‑risk activities.
Conduct reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, and practices.
Monitor service, productivity, and assess efficiency levels within own function and implement continuous process/performance improvements where opportunities exist.
Acquire and apply expertise in the discipline, provide guidance and direction to others.
Identify, recommend and effectively execute standard practices applicable to the discipline.
Adhere to internal policies/procedures and applicable regulatory guidelines.
Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts.
Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
Stakeholders
Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations.
Build relationships with the Compliance Advisory team by working closely with them on regulatory requests and alert escalations.
Co‑ordinate requests to and from business (Compliance) partners and track and report Compliance function initiatives and programs.
Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders.
Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve them.
Employee / Team
Participate fully as a member of the team, supporting a positive work environment that promotes service to the business, quality, innovation, and teamwork and ensuring timely communication and/or escalation of issues.
Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence.
Provide coverage to other colleagues for surveillance modules covered during cross‑training sessions.
Volunteer to present cases/escalations during monthly meetings and encourage team participation.
Gain an understanding of new trade surveillance modules and surveillance tools.
Keep current on emerging trends/developments and enhance knowledge of the business, related tools and techniques.
Keep others informed and up to date on the status/progress of projects and/or relevant day‑to‑day activities.
Contribute to the success of the team by aiding others in work activities, providing training, coaching, and or guidance as appropriate.
Contribute to a fair, positive and equitable environment that supports a diverse workforce.
Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.
Depth & Scope
Works independently as the senior officer and may coach and educate others.
Individual contributor role providing specialized expertise or may lead a small team of specialists.
Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators.
Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information.
Provides day‑to‑day interaction and support to Management.
Oversees/executes and/or performs tasks from end to end.
Focuses on short to mid‑term issues (e.g., monthly‑quarterly).
Education & Experience
Bachelor’s degree or progressive work experience.
5–7 years of related experience.
Physical Requirements
Domestic Travel – Occasional
International Travel – Never
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment – Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Lifting/Carrying (over 25 lbs.) – Never
Squatting – Occasional
Bending – Occasional
Kneeling – Never
Crawling – Never
Climbing – Never
Reaching overhead – Never
Reaching forward – Occasional
Pushing – Never
Pulling – Never
Twisting – Never
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous
Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow.
Our Total Rewards Package Our Total Rewards package includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards), health and well‑being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition.
Additional Information We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed with regular career, development, and performance conversations with your manager, access to a learning platform, and mentoring programs.
Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.
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Work Location New York, New York, United States of America
Hours 40
Line Of Business Compliance
Pay Detail USD $100,000 - $135,000
Job Description The TDS US Compliance team is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade surveillance of Fixed Income Products, with relevant knowledge of trade lifecycle and capital markets business.
Key Accountabilities – Shareholder
Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; elevate issues when necessary.
Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area.
Protect the interests of the organization – identify and manage risks, and elevate non‑standard, high‑risk activities.
Conduct reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, and practices.
Monitor service, productivity, and assess efficiency levels within own function and implement continuous process/performance improvements where opportunities exist.
Acquire and apply expertise in the discipline, provide guidance and direction to others.
Identify, recommend and effectively execute standard practices applicable to the discipline.
Adhere to internal policies/procedures and applicable regulatory guidelines.
Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts.
Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
Stakeholders
Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations.
Build relationships with the Compliance Advisory team by working closely with them on regulatory requests and alert escalations.
Co‑ordinate requests to and from business (Compliance) partners and track and report Compliance function initiatives and programs.
Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders.
Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve them.
Employee / Team
Participate fully as a member of the team, supporting a positive work environment that promotes service to the business, quality, innovation, and teamwork and ensuring timely communication and/or escalation of issues.
Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence.
Provide coverage to other colleagues for surveillance modules covered during cross‑training sessions.
Volunteer to present cases/escalations during monthly meetings and encourage team participation.
Gain an understanding of new trade surveillance modules and surveillance tools.
Keep current on emerging trends/developments and enhance knowledge of the business, related tools and techniques.
Keep others informed and up to date on the status/progress of projects and/or relevant day‑to‑day activities.
Contribute to the success of the team by aiding others in work activities, providing training, coaching, and or guidance as appropriate.
Contribute to a fair, positive and equitable environment that supports a diverse workforce.
Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.
Depth & Scope
Works independently as the senior officer and may coach and educate others.
Individual contributor role providing specialized expertise or may lead a small team of specialists.
Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators.
Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information.
Provides day‑to‑day interaction and support to Management.
Oversees/executes and/or performs tasks from end to end.
Focuses on short to mid‑term issues (e.g., monthly‑quarterly).
Education & Experience
Bachelor’s degree or progressive work experience.
5–7 years of related experience.
Physical Requirements
Domestic Travel – Occasional
International Travel – Never
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment – Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Lifting/Carrying (over 25 lbs.) – Never
Squatting – Occasional
Bending – Occasional
Kneeling – Never
Crawling – Never
Climbing – Never
Reaching overhead – Never
Reaching forward – Occasional
Pushing – Never
Pulling – Never
Twisting – Never
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous
Who We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow.
Our Total Rewards Package Our Total Rewards package includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards), health and well‑being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition.
Additional Information We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed with regular career, development, and performance conversations with your manager, access to a learning platform, and mentoring programs.
Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.
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