Associate, Regulatory and Supervisory Management

Job Description:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience.

With more than 6,900 professionals operating out of 32 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.

We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Global Markets Supervision (GMS) provides first line supervision accountabilities across business lines in the Global Markets footprint. The primary focus of GMS is to fulfill delegated supervision responsibilities and facilitate a sustainable Front Office Supervision framework that supports effective supervision practices and escalates key issues arising from Global Markets sales, trading, and origination business activities. Specifically, GMS supports Front Office Supervisors with the execution of supervisory procedures in accordance with firm policy and regulatory requirements. The role reports to the Director, Regulatory and Supervisory Management.

Regulatory and Supervisory Management (RSM) proactively supports TD Securities' Global Markets businesses to achieve sustainable strategies, supervision, operating practices, and governance aligned with regulatory requirements and Bank policies and risk appetite.

This role is located in the Global Markets Supervision team within RSM who are responsible for ensuring Front Office supervisors adhere to the Global Markets Supervision framework and promoting a strong culture of supervisory engagement, considering industry best practice and regulatory change.

Core accountabilities include:

• Supervision responsibilities covering multiple business lines in Global Markets which may include but not limited to Fixed Income, Equities and Foreign Exchange Sales and Trading
• Primary contact to advise or coordinate with Global Markets supervisors and key support stakeholders on day-to-day supervision accountabilities; and regulatory or business conduct matters requiring escalation.
• Administering Global Markets Swap Dealer, Security-Based Swap Dealer and Volcker Business Compliance Programs with respect to supervision oversight
• Assist in administering supervisory procedures and documentation in accordance with organizational standards.
• Preparing Monthly Supervision packs for Global Markets supervisors of assigned businesses; lead meetings and document conclusions/actions taken; and confirm evidentiary documentation for supervisory accountabilities performed.
• Provide guidance and analysis of key metrics/trends and policy exceptions to Global Markets supervisors to ascertain control gaps, business conduct issues and training opportunities; examples include but not limited to advice and guidance on trading and sales activity in coordination with second line functions.

• Conduct delegated first line supervision control activities and supervisory reviews.
• Present technical matters and business requirements in forums with key stakeholders and drive supervision initiatives in support of business activities
• Coordinate with Compliance, Global Markets supervisors, other RSM teams and stakeholders to respond to regulatory inquiries and Audit requests.
• Conduct communication reviews to detect and identify potential business communications exceptions and/or misconduct across all Global Markets businesses, coordinating analyst assigned groups to connect the dots across businesses, employee, and regions.
• Other Duties as assigned by the Director.

Qualifications:

• Post-secondary degree is required.
• Ideal candidate should have solid background/experience in Capital Markets/Financial Services industry.
• CIRO or equivalent licenses or registrations would be ideal.
• Working knowledge or strong understanding of securities or derivatives markets, products, transactions, or process flows; and related regulatory requirements or supervisory procedures/controls, strongly preferred.
• Must be comfortable interacting with Trading & Sales teams, Front Office supervisors and Second Line risk and control functions.
• Strong understanding of key non-financial (e.g., market, credit, operational, conduct) risk concepts and applicability to business activities preferred.

• Demonstrate ability to influence key stakeholders to achieve consensus and meet requirements.

• Must have strong analytical and critical thinking skills; be detail oriented; and demonstrate initiative to follow up on items or determine appropriate steps for timely resolution.
• Demonstrates ability to work independently as well as in a team environment.
• Proficient with MS Office Suite, including high-level competency in Excel with ability to create pivot tables and macros.
• Must demonstrate ability to manage multiple tasks and deadlines; and flexibility to adapt well to changing priorities.
• As many of the tasks are regulatory focused reviews, the ability to work with Legal and Compliance to interpret regulation or policy and assess applicability to business activities is paramount in this role.
• Must be able to foster key relationships with senior Business Leaders or stakeholders.
• Proactive and quick learner with ability to take on new responsibilities and prioritize workload as required.
• Must have excellent verbal and written communication skills.
• Knowledge of TDS policies and procedures and Global markets infrastructure is preferred

#Li-hybrid

Who We Are:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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
Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):
Sans Objet