Trade Surveillance Associate - Equities/Exchange Traded Products (Compliance) - TD Securities (US)
Core
Monitor and analyze equities and exchange-traded products trading activity to detect potential regulatory breaches and manage compliance risks.
Role type
Associate-level trade surveillance specialist
Builds
Trade surveillance alerts and compliance reports for equities and ETPs
Domain
Financial services / Equities trading compliance
Deliverable
client delivery
Required skills
Equities trade lifecycle knowledge, Exchange Traded Products (ETP) expertise, regulatory guidelines adherence, risk identification, data analysis, stakeholder coordination
Preferred skills
Prior experience at a US broker/dealer or investment bank, familiarity with trade settlement processes
Technologies
Trade surveillance tools
Responsibilities
Monitor trading activity for non-standard or high-risk behaviors, conduct reporting and analysis to draw conclusions on compliance effectiveness, liaise with front office and technology teams, prepare summaries and presentations for management and regulators, escalate issues appropriately, maintain knowledge of emerging regulatory trends
Seniority
Associate, individual contributor
