Markham Surveillance Analyst at TD

Step into a critical role as a Surveillance Analyst with TD in Markham, Ontario. This full-time position emphasizes client account monitoring and collaborative regulatory compliance.

Reporting to the Senior Manager within PWM Wealth Business Controls, your role involves executing Tier 1 surveillance responsibilities. You will ensure that client trading and account activities comply with CIRO regulations and assist in mitigating AML risks. Your analyses will drive informed decisions that promote market integrity within TD's operations.

Key Responsibilities:

• Conduct timely Tier 1 supervision of client activities

• Review trading for compliance and report irregularities

• Analyze business reports and communicate findings

• Address management inquiries with detailed investigations

• Supervise electronic communications regarding compliance

Requirements:

• Preferred Undergraduate Degree or Community College Diploma

• CIRO licensed with a minimum of 2 years' experience

• Familiarity with regulatory tools is highly desirable

• Excellent communication and critical thinking skills

• Detail-oriented and organized for effective multitasking

Use your investigative skills to uphold compliance and integrity at TD Wealth in Markham.
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