As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

TD Securities Corporate and Investment Banking provides a full range of financial advisory and capital-raising services to corporate and institutional clients globally. Our Relationship Managers work closely with our clients to understand their needs and bring them unique solutions to complex issues. The department is organized into areas of expertise by product, region, and industry.

The Business Management Team within Corporate & Investment Banking is responsible for providing ongoing strategic and operational support, as well as supervisory oversight, to front-line Investment Bankers and Senior Executives within the department, such that their focus can remain on providing optimal client coverage and execution. The team liaises with various TDS and TDBG support partners to advance the needs of the department as well as assist with rolling out any firm- or bank-wide initiatives.

Position Overview:

The Investment Banking group is a demanding environment and requires a self-starting, efficient person who works extremely well in a team, can manage multiple priorities at the same time, and thrives in a fast-paced, intense and exciting environment.

In this first line of defense (1A) role, the VP will work as a key member of the broader Business Management Team to establish a strong risk and control environment, supported by an effective supervisory program for the Corporate and Investment Banking business. The successful candidate will have a hands-on role in managing programs in support of the overall risk and control environment, acting as a business supervision center of excellence, including the completion of delegated supervision. The incumbent will act as a liaison between TDS support and control teams Senior Executives within the department and work closely with the Group Business Managers to oversee and execute business strategies, plans, and initiatives.

Key Accountabilities:

More specifically, the role will require you to:

• Work in conjunction with Corporate and Investment Banking front-line professionals to ensure the business has adequately considered, managed, and mitigated risks in day-to-day activities, operations, products, and services and is operating within its risk appetite.
• Develop effective partnerships with the groups that support Corporate and Investment Banking - including 1B, Compliance, Legal, Audit, Risk and Technology - as well as foster strong working relationships with the Group Business Managers, Industry Teams, Product Teams, and Regional Offices.
• As part of the Center of Excellence, perform delegated business supervision and risk management activities.
• Think strategically by expanding the implementation of preventive controls and reducing overall reliance on only detective controls.
• Participate in the design and implementation of control testing within key processes to meet the firm's governance requirements.
• Provide support with audit and testing engagements from regulators and second- and third-line stakeholders, including providing remedial support for any findings.
• Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency through effective use of tools and technology.
• Demonstrate confidence while presenting regular and ad-hoc presentations, supervisory dashboards, and comfort when delivering training and completing conduct escalation conversations.
• Prepare dashboard reporting and business analysis and recommend sound business decisions and solutions based on the analysis completed.
• Be a leader and role model for junior supervision resources on the team.
• Think creatively to address unique or ambiguous situations and to find solutions to complex problems.
• Promote a culture of compliance, good governance, and respect for the bank's risk appetite.
• Think creatively to address unique or ambiguous situations and to find solutions to complex problems.
• Promote a culture of compliance, good governance, and respect for the bank's risk appetite

Specific Accreditations and Experience:

• FINRA Series 24 and 79 Registered, or commitment to obtain within 6 months.
• Experience in capital markets, compliance, audit, risk, control and governance or a related field
• Be familiar with the Canadian and US capital markets regulatory landscape
• Undergraduate Degree, CPA, MBA or other post-undergraduate education is preferred

Other Qualifications/Skills:

• Understanding of financial markets and the business of Corporate and Investment banking
• Understanding of the bank's three lines of defense model
• Demonstrated ability to take a risk-based approach to decision making
• Strong analytical, problem-solving, and critical thinking skills
• An ability to communicate simply, directly, succinctly
• Strong interpersonal and written/verbal communication skills.
• Takes ownership and accountability for the quality of their work
• Has strong attention to detail
• Enjoys working in a collaborative team environment
• Ability to balance multiple, simultaneous priorities in a fast moving and demanding environment.

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