Analyst, Exchange Traded Products Surveillance

Analyst, Exchange Traded Products Surveillance (4123) Work Location: Toronto, Ontario, CanadaHours: 37.5Line Of Business: CompliancePay Details: $59,500 - $84,000 CAD Job Description KEY ACCOUNTABILITIES Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; elevate 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 elevate 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, 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 T+1 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 Update the case management tool for escalation and follow up on pending open items on a regular basis, consistent with department procedures and regulatory expectations. 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 preferred Basic knowledge of Equities is required 2+ 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 Strong analytical and investigative skills with attention to detail Ability to interpret complex trading data and identify patterns Problem‑solving mindset and ability to work under pressure in a fast‑paced environment Who We Are TD is one of the world’s 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 95,000 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. 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 We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of 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 we’re committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll 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 you’d 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. Language Requirement (Quebec Only): Sans Objet Job Details Seniority level: Entry level Employment type: Full‑time Job function: Research, Analyst, and Information Technology Industries: Banking #J-18808-Ljbffr