Wealth Surveillance Analyst

Position: TD Wealth Surveillance Analyst Role
Take on the Surveillance Analyst role at TD Wealth in Markham, Ontario. Drive compliance and support risk management initiatives within the FP business, focusing on CIRO regulatory frameworks.

In this role, you will be involved in the proactive supervision of trading activities, ensuring adherence to CIRO and AML/ATF regulations. Your contributions will include analyzing trading reports and providing guidance to Financial Planners and senior management. Through collaboration and thorough investigation, you'll help maintain market integrity and compliance.

Key Responsibilities:

• Supervise client trading activities and report anomalies

• Conduct reviews of business reports and identify risks

• Provide compliance support to Financial Planners and management

• Utilize tracking tools for regulatory oversight

• Assist in the investigation of compliance-related inquiries

Requirements:

• Undergraduate degree or Community College Diploma preferred

• Minimum 2 years of relevant compliance experience

• CIRO licensing required for the position

• Strong organizational and detail-oriented skills

• Proficiency in MS Office

Engage with TD Wealth to contribute significantly to compliance oversight and market integrity.
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