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Job Description:

The Director Trading Business Management TDS is responsible for the planning, direction, and coordination of trading operations within The Bank. This position is also responsible for overseeing the development of policies and procedures.

Regulatory and Supervisory Management proactively supports TD Securities' Global Markets businesses to achieve sustainable strategies, supervision, operating practices and governance aligned with regulatory requirements and Bank policies and appetite. This group is responsible for performing the supervision of sales, & trading & origination activities by conducting reviews, documenting findings, and escalating exceptions in accordance with TD Securities policies and procedures.

Regulatory and Supervisory Management (RSM) drives a strong culture of supervision and supervisory engagement, considering industry best practice and regulatory change. The Global Markets Supervision (GMS) team partners with TD Securities' Global Markets Supervisors to meet their accountabilities for the oversight of employee conduct and of market, credit, underwriting, and operational risks. Specifically, GMS facilitates a sustainable First Line Supervision framework that supports effective supervision practices and escalates key issues arising from Global Markets trading, sales and origination business activities; and executes delegated supervision accountabilities on behalf of Business Line supervisors in accordance with Firm policy and regulatory requirements.

TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions (e.g., TD Cowen), and continues to expand its product offering and client franchise across all asset classes. The successful candidate will develop an in-depth knowledge of Global Markets Supervision framework and associated policies and (review) procedures. The candidate will collaborate closely with Business Supervisors, trading, sales and origination teams; Second Line and infrastructure support teams to help manage key risks and confirm that our controls framework is operating effectively and is also fit for purpose. The role reports to the Director, Global Markets Supervision (Equities), and will provide primary coverage over US Equities for both cash and derivatives products.

Core Accountabilities:

Scope of Supervision accountabilities covers multiple US business lines within our GM US Equities franchise including ADR, US Equities Cash and Options, US Sales, Cross Asset Trading, Institutional Equity Research Sales, as well as Our Prime Services offering. As such demonstrable working knowledge with the above-mentioned business and product lines will be highly desirable. Additional core responsibilities include, but are not limited to:

• Manage key relationships with business line supervisors and serve as primary contact to advise or coordinate with key stakeholders on day-to-day supervision, regulatory or business conduct matters requiring escalation.
• Provide guidance on business line Desk Operating Procedures (DOPs) and execute delegated supervisory review accountabilities in accordance with Written Supervisory Procedures (WSP).
• Prepare Monthly Supervision packs for assigned businesses and lead meetings with Global Markets Supervisors to analyze key metrics/trends and review market/business conduct escalations; follow up on any action items or take-aways.
• Provide Global Markets Supervisors with interpretive guidance and best practices relating to key metrics and business conduct issues; accountabilities include but are not limited to:
• Evaluate practical applicability of Firm policies to trading and sales activities in coordination with Compliance or relevant Risk and Control teams.
• Conduct First Line surveillance and business conduct reviews.
• Compile management reporting on trade capture metrics, regulatory scorecards, policy exceptions and other ad hoc reporting as required.
• Assess implications of Firm policy, regulatory, new business, or best practice changes to the supervision framework.
• Design and implement supervisory controls and procedures to address regulatory and best practice requirements.
• Present technical matters in forums with Second Line stakeholders and drive the resolution of issues in a timely manner.
• Vet and coordinate First Line responses to regulatory inquiries in coordination with Compliance, Front Office, RSM teams; and other support groups.
• Interface with Internal and External Auditors / Examiners as needed, and where required assist with remedial work efforts for any open audit and compliance (testing) findings and open gaps.
• Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs supervisory meetings
• Execute internal control procedures in accordance with the Volcker Enhanced Compliance Program and provide guidance on Trading Desk Policies.
• Assists E-Trading GMS Director with maintenance and enhancements to the US Market Access and Best Execution Framework, policies and (review) procedures and facilitation of the US Market Access and Best Execution Committee meetings.
• Leads or a key stakeholder on Global Markets regulatory initiatives; participate in business initiatives to conduct supervision operational readiness assessments.
• Participates in local committees, internal/external meetings or forums as needed.
• Proactively seeks opportunities for continuous improvement and process enhancements to supervision framework and procedures; assist with relevant change management process.

Depth & Scope:

• Oversees the development and execution of strategic planning for unit
• Oversees program and project level forecasting and tracking
• Directs the communication of financial policies and procedures
• Manages monthly forecasting and client chargeback process
• Oversees the annual budget process
• Manages the headcount / resource process
• Leads and oversees the end-to-end delivery of requirements throughout the lifecycle of large scale/complex projects or programs requiring a cohesive approach to broad business solutions with full traceability to realize project benefits
• Provides advisory support, leadership direction and guidance to assigned Business Analyst resources, stakeholders an executives of the projects and/or program across multiple Lines of Business (LoB)

Education & Experience:

• Bachelors degree or progressive work experience in addition to experience below
• 7+ Years of related experience
• Strong project management skills
• Strong leadership, interpersonal and relationship-building skills are required
• Excellent analytical skills
• Excellent Microsoft Office skills in particular Excel
• Presentation skills required
• Strong team player and who can work in cross-organization situations
• Highly effective written and oral communication skills; excellent organizational skills

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel: Occasional
• International Travel: Never
• Performing sedentary work: Continuous
• Performing multiple tasks: Continuous
• Operating standard office equipment: Continuous
• Responding quickly to sounds: Occasional
• Sitting: Continuous
• Standing: Occasional
• Walking: Occasional
• Moving safely in confined spaces: Occasional
• Lifting/Carrying (under 25 lbs.): Occasional
• Lifting/Carrying (over 25 lbs.): Never
• Squatting: Occasional
• Bending: Occasional
• Kneeling: Never
• Crawling: Never
• Climbing: Never
• Reaching overhead: Never
• Reaching forward: Occasional
• Pushing: Never
• Pulling: Never
• Twisting: Never
• Concentrating for long periods of time: Continuous
• Applying common sense to deal with problems involving standardized situations: Continuous
• Reading, writing and comprehending instructions: Continuous
• Adding, subtracting, multiplying and dividing: Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. 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.

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

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.