Surveillance Analyst, FP Business Surveillance

Lieu De Travail

Markham, Ontario, Canada

Horaire

37.5

Secteur D’activité

Gouvernance et Contrôles

Détails De La Rémunération

$59,500 - $84,000 CAD

Department Overview

The Tier 1 Surveillance Teams within PWM Wealth Business Controls is responsible for managing the TD risk structure framework as defined as a first line of defense / 1A delegated function for the FP business for TD Wealth. The team's core mandate is to fulfill CIRO Tier 1 regulatory accountabilities while supporting broader business controls and market integrity. Through a risk-based program focused on Account Activity Monitoring, Surveillance provides coverage of applicable CIRO rules, internal policies, and Universal Market Integrity Rules (UMIR), enabling the timely identification, investigation, and escalation of potential risks across the business.

Job Description

Reporting to the Senior Manager or Manager, FP Bu...