Associate, Regulatory and Supervisory Management

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
TD Securities

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:

Department Overview:

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.

• 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.

• Undergrad degree is required.
• Ideal candidate should have solid background/experience in Capital Markets/Financial Services industry.
• 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.
• CIRO or equivalent licenses or registrations would be ideal.

• 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.