**Work Location**:Dublin, Ireland**Hours:**35**Line of Business:**Compliance**Pay Details:**We're committed to providing fair and equitable compensation to all our colleagues.
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**Job Description:****Trade Surveillance Role – Equities****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 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**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* 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* Relevant professional designations such as FINRA Certified Compliance Officer Program* Basic knowledge of Equities is required* L9 - 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 US markets and regulations, particularly in relation to Equities, Options and Futures**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.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.
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