Senior Analyst, Exchange Traded Products Surveillance (2654)

Work Location:

Hours:

Line of Business:

Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our 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 candidates 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:

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

Employee / Team

• Participate fully and help lead 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

Breadth & Depth

• Ensure T1 timeline for trade surveillance is adhered to except in any special circumstances

• Analyze alerts and relevant data to determine whether a trade involves violations of law rules and regulations and/or firm policies

• Assist other analysts on the team with their surveillance reviews when required

• Familiarize with the emerging trends pertaining to regulatory changes and remain updated on trends related to Equities trade surveillance (e.g. market abuse regulatory expectations etc).

• Proactively identify matters requiring additional review and when to escalate to Surveillance Management and Advisory Compliance partners

• Develop a thorough understanding of multiple market manipulation surveillance patterns and continuously look for efficiencies and enhancements to the work

• Identify the gaps and improvements such as how the surveillance patterns can be enhanced or calibrated more effectively

• Update the case management tool for every escalation and follow-up on pending open items on a regular basis consistent with department procedures and regulatory expectations.

• Coach and educate new joiners to drive compliance training leveraging various tools such as recent regulatory fines to using complex exceptions that required further investigation

• Execute on more complex and non-standard requests and escalations

• Engage in consultation for calibration and bringing ideas or proof of concept that can improve the reviews

• Support audit related activities by providing documentation and relevant subject matter expertise

• Participate in surveillance projects that are critical to the department and pertaining to Trade Surveillance

• Participate and contribute to Surveillance department meetings monthly touchpoints bi-weekly Supervision and Surveillance meetings

• Work closely with the other stakeholders such as Advisory Compliance the Trading desks and Technology.

• Provide support in enhancing the surveillance system through the Surveillance departments calibration process including reviewing alerts risk scoring of alerts and possible parameter changes

• Provide support to the regional Compliance teams by ensuring they have all the pertinent information to address their remediation of regulatory risk specific to their region

• Analyze the data source and be able to draw conclusions to meet review requirements

• Understand the trade flow from start to finish including booking system files being used for alert generation

Experience & Education

• Undergraduate degree required

• Basic knowledge of Equities is required

• 3 to 5 years of experience in surveillance of Equities Options and Futures preferred; Surveillance experience at peer firm or regulator is preferred

• Knowledge of the Canadian markets and regulations particularly in relation to Equities Options and Futures

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes a base salary variable compensation and several other key plans such as health and well-being benefits savings and retirement programs paid time off banking benefits and discounts career development and reward and recognition programs. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):