Trade Surveillance Associate - Fixed Income; Compliance

Job Title

Trade Surveillance Associate - Fixed Income (Compliance) – TD Securities (US)

New York, New York, United States of America

40

Compliance

USD $100,000 - $135,000

The TDS US Compliance team is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade surveillance of Fixed Income Products, with relevant knowledge of trade lifecycle and capital markets business.

• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; elevate issues when necessary.
• 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 elevate non‑standard, high‑risk activities.
• 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, and 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.

• Familiarize with key stakeholders including the front office teams as well as the support functions including Technology and Operations.
• Build relationships with the Compliance Advisory team by working closely with them on regulatory requests and alert escalations.
• Co‑ordinate requests to and from business (Compliance) partners and track and report Compliance function initiatives and programs.
• Prepare summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders.
• Proactively identify matters requiring additional review, escalation, and liaise with appropriate staff to resolve them.

• Participate fully as a member of the team, supporting a positive work environment that promotes service to the business, quality, innovation, and teamwork and ensuring timely communication and/or escalation of issues.
• Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence.
• Provide coverage to other colleagues for surveillance modules covered during cross‑training sessions.
• Volunteer to present cases/escalations during monthly meetings and encourage team participation.
• Gain an understanding of new trade surveillance modules and surveillance tools.
• Keep current on emerging trends/developments and enhance knowledge of the business, related tools and techniques.
• Keep others informed and up to date on the status/progress of projects and/or relevant day‑to‑day activities.
• Contribute to the success of the team by aiding others in work activities, providing training, coaching, and or guidance as appropriate.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce.
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.

• Works independently as the senior officer and may coach and educate others.
• Individual contributor role providing specialized expertise or may lead a small team of specialists.
• Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators.
• Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information.
• Provides day‑to‑day interaction and support to Management.
• Oversees/executes and/or performs tasks…