TD Securities is looking to solve the business problem of managing regulatory risk in Foreign Exchange (FX) trading by hiring an Associate-level candidate to join the FX Trade Surveillance team.
Requirements
- 3-5 years of experience in surveillance of Foreign Exchange (FX) trading
- In-depth knowledge of the trade lifecycle
- Fixed Income, Commodities, or Futures experience a plus
- Strong knowledge of the trade lifecycle and FX product
- Experience working with FX products in Compliance trade surveillance, trade settlements, or a in a trading role
- Knowledge of regulatory/compliance requirements
- Experience with trade surveillance modules and surveillance tools
Responsibilities
- 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
Other
- Bachelors degree or progressive work experience
- 5-7 Years of related experience
- Domestic Travel – Occasional
- Ability to work in a team environment and build relationships with stakeholders
- Strong communication and interpersonal skills
