Trade Surveillance Associate - Equities/Exchange Traded Products (Compliance) -
TD Bank, New York, NY, United States
Associate-Level Candidate For Equities Trade Surveillance Team
The TDS US Compliance team is looking for an associate-level candidate to join the Equities Trade Surveillance team. Preferred 3-5 years of experience in surveillance of Equities/Exchange Traded Products trading and in-depth knowledge of the trade lifecycle. Key Accountabilities
Shareholder Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate 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 escalate 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 Coordinate 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 Equities/Exchange Traded Products in Compliance trade surveillance, trade settlements/regulation or in a trading role at a US broker/dealer, investment bank or associated regulator Strong knowledge of the trade lifecycle and Equities/Exchange Traded Products Physical Requirements
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% 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.
The TDS US Compliance team is looking for an associate-level candidate to join the Equities Trade Surveillance team. Preferred 3-5 years of experience in surveillance of Equities/Exchange Traded Products trading and in-depth knowledge of the trade lifecycle. Key Accountabilities
Shareholder Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate 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 escalate 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 Coordinate 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 Equities/Exchange Traded Products in Compliance trade surveillance, trade settlements/regulation or in a trading role at a US broker/dealer, investment bank or associated regulator Strong knowledge of the trade lifecycle and Equities/Exchange Traded Products Physical Requirements
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% 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.