Tier 1 Surveillance Analyst at TD Wealth

Engage in impactful surveillance analysis with TD Wealth in Markham, Ontario as a Tier 1 Surveillance Analyst. Ensure compliance and conduct comprehensive supervision of client account activities.

This role focuses on effective monitoring, daily trade supervision, and compliance with CIRO regulations. You will review business reports, investigate potential risks, and support financial planners by communicating findings to stakeholders. Your contributions will enhance both regulatory oversight and operational excellence within the organization.

Key Responsibilities:

• Conduct Tier 1 supervision of client account activity

• Review trading activities for compliance with regulations

• Track and investigate potential regulatory risks

• Supervise registrants’ electronic communications

• Prepare detailed reports on daily trading activities

Requirements:

• Undergraduate degree or community college diploma

• CIRO licensed as an Investment or Registered Representative

• Minimum of 2 years of relevant experience

• Strong communication and organizational skills

• Proficiency in Microsoft Office applications

Support TD Wealth’s mission through vigilant surveillance and regulatory oversight in a challenging position.
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