Fixed Term Contract - UK Compliance - Surveillance

Work Location:
London, United Kingdom

Hours:
35

Line of Business:
Compliance

Pay Details:

We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

KEY ACCOUNTABILITIES

• Familiarity with Market Abuse regulation ("MAR") to be able to identify multiple market manipulation surveillance patterns.
• Analyse alerts and relevant data timely to determine whether a trade involves violations of law, rules and regulations and/or firm policies
• Knowledge of Exchange and OTC products, market structure, operation, and the associated regulatory risk.
• Proactively identify matters requiring additional review and when to escalate to Surveillance Management and Advisory Compliance partners
• Analyse the data source and be able to draw conclusions to meet review requirement.
• Understand the trade flow from start to finish, including booking system, files being used for alert generation.
• Track and follow to closure, alerts not closed timely.
• Engage in consultation for calibration and bringing ideas or proof of concept that can improve the reviews.
• Participate in surveillance projects that are critical to the department and pertaining to Trade Surveillance.
• 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).
• Work independently, think critically and make decisions.
• Excellent communication skills, both written and oral.
• Ability to manage multiple priorities and meet deadlines is critical.
• Experience of compliance surveillance in capital (institutional) markets.

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. 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 you've 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, we're 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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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 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 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

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

Client-provided location(s): London, United Kingdom

Job ID: TD_bank-R_1430869

Employment Type: FULL_TIME

Posted: 2025-07-10T23:46:25