TD Bank
Compliance Officer, Communications Trade Surveillance
$120K–$145K
New York, New York · Office Focused · Full-time · Posted Oct 22, 2026
- Experience
- 5–7 years of Communications Surveillance experience; the posting also specifies a minimum of 5–7 years of related experience.
- Education
- Undergraduate degree required; alternatively, bachelor’s degree or progressive work experience.
About the job
Conduct communications trade surveillance for TD Securities, reviewing employee communications and alerts for potential misconduct, information-barrier breaches, and regulatory or policy violations.
What you'll do
- Review email, chat, and other approved communications; investigate alerts and escalate potential violations or inappropriate sharing of material nonpublic information.
- Maintain surveillance cases and reporting, support regulatory reviews and audits, and collaborate with Compliance, Control Room, business, and Technology stakeholders.
- Help calibrate and improve surveillance patterns and tools, and coach colleagues on reviews and compliance expectations.
What they ask for
- Undergraduate degree required; the posting also states a bachelor’s degree or progressive work experience.
- 5–7 years of related experience, including 5–7 years in Communications Surveillance.
- Knowledge of Corporate and Investment Banking, U.S. markets, and regulations governing communications by Sales and Trading staff.
- Knowledge of trading in Equities, Options, Futures, Fixed Income products, FX, and Commodities.
Nice to have
- Surveillance experience at a peer firm or regulator.
- Relevant professional designations, such as the FINRA Certified Compliance Officer Program; basic knowledge of Equities, Fixed Income, and FX.
Pay
$120,000 - $145,000 USD (base salary)
Model-written summary · the original posting is authoritative