Trade Surveillance Associate - FX; Compliance - TD Securities

Position: Trade Surveillance Associate - FX (Compliance) - TD Securities (US)
Location: New York

Nous utilisons des témoins pour fournir et améliorer nos services de sorte à vous offrir une expérience plus personnalisée, et les services de suivi sont désactivés. Pour en savoir plus sur les témoins utilisés et pour consulter vos préférences, veuillez vérifier les paramètres de votre navigateur ou sélectionner Accepter pour consentir à l’utilisation des témoins.

Avertissement :
Pour les visiteurs de l’Union européenne et du Royaume-Uni, seuls les témoins strictement nécessaires sont utilisés sur ce site. Ces témoins sont nécessaires au bon fonctionnement du site Web et ne peuvent pas être désactivés. Ils sont généralement mis en place uniquement en réponse à des actions que vous effectuez et qui équivalent à une demande de services, comme configurer vos préférences en matière de confidential ité, ouvrir une session ou remplir des formulaires.

Vous pouvez configurer votre navigateur pour qu’il bloque ces témoins; toutefois, certaines sections du site ne fonctionneront pas. Ces témoins n’enregistrent pas de renseignements personnels permettant l’identification.
** Work Location**:

New York, New York, États-Unis d'Amérique
*
* Hours:

** 40
* * Line of Business:
** Conformité
** Pay Detail:**$100,000 - $135,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
*
* Job Description:

** The TDS US Compliance team is looking for an Associate-level candidate to join the FX Trade Surveillance team. Preferred 3-5 years of experience in surveillance of Foreign Exchange (FX) trading and in-depth knowledge of the trade lifecycle. Fixed Income, Commodities, or Futures experience a plus.

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  
• Co-ordinate 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…