Found Description
Join TD Wealth in Markham, Ontario as a Surveillance Analyst dedicated to ensuring regulatory compliance and monitoring. Leverage your expertise in trading oversight and risk management for optimal client interactions.
As a key member of the Tier 1 Surveillance Team, you will execute regulatory activities while focusing on CIRO compliance and risk assessments. Your expertise will support timely identification and escalation of potential risks across client account activities. This role demands a combination of analytical skills, attention to detail, and effective communication.
Key Responsibilities:
• Conduct Tier 1 supervision of client account activity
• Review and report on daily trading activities
• Analyze business reports for anomalies
• Supervise electronic communications for compliance
• Assist with investigations and management reporting
Requirements:
• Undergraduate degree or community college diploma ...
As a key member of the Tier 1 Surveillance Team, you will execute regulatory activities while focusing on CIRO compliance and risk assessments. Your expertise will support timely identification and escalation of potential risks across client account activities. This role demands a combination of analytical skills, attention to detail, and effective communication.
Key Responsibilities:
• Conduct Tier 1 supervision of client account activity
• Review and report on daily trading activities
• Analyze business reports for anomalies
• Supervise electronic communications for compliance
• Assist with investigations and management reporting
Requirements:
• Undergraduate degree or community college diploma ...