Surveillance Analyst

Position: Surveillance Analyst at TD
Join TD in Markham, Ontario, as a Surveillance Analyst responsible for monitoring compliance activities. Ensure regulatory adherence and mitigate risks in the FP business with a focus on CIRO regulations.

As a key member of the Tier 1 Surveillance Team, you will conduct oversight of client activity and execute various regulatory responsibilities. Your expertise in compliance, including AML and ATF regulations, will be crucial in assessing trading activities. Collaborate with Financial Planners and management to address outstanding items and enhance compliance processes.

Key Responsibilities:

• Conduct Tier 1 supervision of client account activities

• Review daily trading and account activities for compliance

• Investigate potential regulatory or business risks

• Support Financial Planners and management with compliance guidance

• Analyze and report on inquiries and compliance matters

Requirements:

• Undergraduate degree or college diploma preferred

• Licensed with CIRO, minimum 2 years relevant experience

• Knowledge of TD Wealth business

• Proficient in MS Office and communication skills

• French language abilities are an asset

Elevate your career in compliance while supporting TD's mission to ensure market integrity.
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