TD
Trade Surveillance Associate - FX (Compliance) - TD Securities (US)
TD, New York, New York, us, 10261
Trade Surveillance Associate - FX (Compliance) - TD Securities (US) role at TD
Work Location:
New York, New York, États-Unis d'Amérique
Hours:
40
Line Of Business:
Conformité
Pay Detail:
$100,000 - $135,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job‑related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description The TDS US Compliance team is looking for an Associate-level candidate to join the FX Trade Surveillance team. Preferred 3‑5 years of experience in surveillance of Foreign Exchange (FX) trading and in-depth knowledge of the trade lifecycle. Fixed Income, Commodities, or Futures experience a plus.
Key Accountabilities SHAREHOLDER
Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escape issues where appropriate
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 escape non‑standard, high‑risk activities as necessary
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/ 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 Compliance Advisory team by working closely with them on regulatory requests and alert escalations
Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of 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, as appropriate
EMPLOYEE / TEAM
Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure 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 meeting and team members should participate in the discussion
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 about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide 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
Bachelors degree or progressive work experience
5-7 Years of related experience working with FX products in Compliance trade surveillance, trade settlements, or a in a trading role
Strong knowledge of the trade lifecycle and FX product
Fixed Income, Commodities, or Futures experience a plus
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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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 services include underwriting and distributing new issues, providing trusted advice and industry‑leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly‑diverse equity research franchise, while growing our strong, diversified investment bank. We are growth‑oriented, people‑focused, and community‑minded. As a team, we work to deliver value for our clients every day.
Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well‑being goals. Total Rewards at TD includes base salary and variable compensation / incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well‑being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more.
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. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
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. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
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Work Location:
New York, New York, États-Unis d'Amérique
Hours:
40
Line Of Business:
Conformité
Pay Detail:
$100,000 - $135,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job‑related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description The TDS US Compliance team is looking for an Associate-level candidate to join the FX Trade Surveillance team. Preferred 3‑5 years of experience in surveillance of Foreign Exchange (FX) trading and in-depth knowledge of the trade lifecycle. Fixed Income, Commodities, or Futures experience a plus.
Key Accountabilities SHAREHOLDER
Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escape issues where appropriate
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 escape non‑standard, high‑risk activities as necessary
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/ 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 Compliance Advisory team by working closely with them on regulatory requests and alert escalations
Co-ordinate requests to and from, business (Compliance) partners and coordinate tracking and reporting of 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, as appropriate
EMPLOYEE / TEAM
Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure 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 meeting and team members should participate in the discussion
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 about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide 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
Bachelors degree or progressive work experience
5-7 Years of related experience working with FX products in Compliance trade surveillance, trade settlements, or a in a trading role
Strong knowledge of the trade lifecycle and FX product
Fixed Income, Commodities, or Futures experience a plus
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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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 services include underwriting and distributing new issues, providing trusted advice and industry‑leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly‑diverse equity research franchise, while growing our strong, diversified investment bank. We are growth‑oriented, people‑focused, and community‑minded. As a team, we work to deliver value for our clients every day.
Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well‑being goals. Total Rewards at TD includes base salary and variable compensation / incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well‑being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more.
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. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
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. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
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