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TD · 2 weeks ago

Trade Surveillance Associate - FX (Compliance) - TD Securities (US)

New York, New York

Full-time

Onsite

Mid, Senior Level

$100K/yr - $135K/yr

5+ years exp

TD Securities is seeking an Associate-level candidate to join their FX Trade Surveillance team. The role involves monitoring Foreign Exchange trading, conducting analysis, managing risks, and ensuring compliance with regulatory guidelines.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

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

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 matters requiring additional review, escalation, and liaise with appropriate staff to resolve, as appropriate

Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure 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 meeting and team members should participate in the discussion

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 about the status / progress of projects and / or all relevant or useful information related to day-to-day activities

Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide 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