Senior Analyst, Surveillance Initiatives & Portfolio Management (3142)
Full time @TD BANK posted 10 hours ago in Accounting / Finance Shortlist Email JobJob Detail
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Job ID 20510
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Experience 2 Years
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Qualifications Degree Bachelor
Job Description
“Job Description:
Department Overview
Providing training and education to TDS businesses
Liaising with regulators and internal auditors
Promoting a compliance culture within the firm
Taking preventative measures to ensure compliance with the rules and regulations
Reviewing new business opportunities, such as trading of new products or on markets from a compliance surveillance perspective
Job Accountabilities
Maintain and continue to build a culture of excellence within the Compliance Surveillance team.
Manage and foster a strong and collaborative relationship with the Advisory Compliance teams in Canada, United States, EMEA and APAC.
Assess impact of new venues, products and regulations as they relate to trade and communications surveillance.
Participate in regional and global surveillance modernization projects for trade and electronic communications surveillance.
Performs annual gap analysis and control effectiveness of trade and communications surveillance.
Remediate identified gap(s) and work in partnership with technology, Advisory Compliance, and other key stakeholders to advance any projects that directly impact surveillance.
Communicate and escalate issues and events to regional compliance teams including, Compliance Advisory, Traders, and Supervisors.
Lead global quarterly meetings with all the regional compliance teams by sharing and discussing key risks and trends identified through surveillance.
With the first line of defence supervision/risk and control partners, host the bi-monthly supervision and surveillance forum calls.
Proactively assess and remediate risks by engaging regional Advisory Compliance colleagues as well as first line supervision/risk and control partners to discuss, develop and deliver solutions to close gaps and opportunities for program enhancement.
Develop and maintain written compliance surveillance procedures.
Assist with surveillance calibration processes and procedural updates.
Assist with regulatory reviews, including inquiries, audits, and exams, as it pertains to surveillance.
Monitor regulatory developments and trends with the regional compliance team and identify where new or enhanced surveillance reviews are required.
Work with Technology and Risk Management to ensure Compliance Surveillance meet firm and industry standards.
Support the business in their development of policies, procedures, and training programs to facilitate compliance with regulatory requirements.
Proficiency Requirements and Skills
Familiarity with the Universal Market Integrity Rules (UMIR), Le Bourse Exchange, U.S. National Securities Exchange rules (e.g., Nasdaq, NYSE, and CBOE), US Volcker Rule, FCA’s Market Abuse Regulation, MiFiD II, NFA and all applicable Canadian securities commission rules
Understanding operational risk management principles and banking (prudential) regulators approach to compliance-risk framework and standards, highly desirable.
Knowledge of OTC products and market structure and operation and the associated regulatory risk.
Three to 5 years of compliance surveillance in capital (institutional) markets.
Demonstrated ability to build and lead a surveillance team.
Demonstrated ability to enhance trade and communications surveillance capabilities (both communications and trade surveillance).
Experience working for a regulator highly desirable.
Demonstrated ability to work independently, think critically and make decisions.
Excellent communication skills, both written and oral.
Ability to manage multiple priorities and meet deadlines is critical.
A strong personal integrity in dealing with confidential and sensitive information.
Canadian Securities Courses ((CSI) CSC, DFC, OLC, OPSC and FIT).
Other Qualifications/Skills/Experience
Ability to understand, analyze, interpret, and apply laws, rules, and regulation in a surveillance operational context.
Ability to operate in an environment characterized by continuously evolving markets, product and regulatory expectations is critical.
Ability to work independently and lead team.
Advanced degree, understanding of statistics/quantitative methods, CFA, CPH and/or Trader Training course are desirable, but not required.
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Required skills
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