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 6,500 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.

The Regulatory and Supervisory Management (RSM) team proactively supports TD Securities' sales and trading businesses and is responsible for performing the supervision of trading by conducting reviews, documenting findings, and escalating exceptions in accordance with TD Securities policies and procedures.

The candidate will perform the Global Markets Supervision processes ensuring the framework continues to function efficiently and effectively in adherence to established policies, procedures, governance standards, risk appetite and regulatory requirements. The incumbent will also be expected to play a key role in the development and implementations of solutions in support of the Global Markets Supervision frameworks.

Key accountabilities include:

• Responsible for the accurate execution, maintenance and delivery of the FO Supervision processes and reporting in adherence to established Front Office policies and procedures.
• Establish appropriate review and assessment of the quality of outputs in current processes and pro-actively make changes or propose initiatives to improve efficiencies.
• Develop and maintain strong partnerships across RSM and with TDS support and control groups to facilitate the complete and accurate escalation of key issues and follow up actions.
• Ensure ongoing communication across the team and relevant stakeholders on the status and progress of Global Markets Supervision processes and reports.
• Lead investigation and analysis of issues to provide management with root causes, issues, and recommendations to facilitate resolution.
• Provide subject matter expertise for Global Markets Supervision, responding to ad hoc business request as required, providing recommendations, guidance, and training.
• Lead implementation of changes to the Global Markets Supervision program including any related policies, processes, and documentation.
• Participate in QA/QC Testing and Internal Audit Testing of processes.
• Ensure internal control processes are adequate and documented appropriately.
• Ensure all documentation is written to a high standard and kept up to date.
• Contribute to a positive work environment conducting in a manner consistent with the TD Framework (Think Customer, Own, Execute, Innovate, and Develop).
• Consistently maintain high levels of integrity, motivation, and morale.
• Initiate actions to seek opportunities for professional development to further improve your own and the team’s skills and performance.

Job Requirements:

• Experience in Capital Markets environment with strong knowledge and understanding of business processes, products, and procedures across Global Markets required.
• Must have proficiency with Alteryx, Tableau, and MS Office Suite (including competency in Excel with ability to create pivot tables, macros, and VBA code). Python and SQL considered an asset.
• University degree in business, mathematics, computer science, or related field.
• Highly motivated individual with a proven track record to deliver results.
• Superior analytical, verbal, and written communication skills.
• Strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions.
• Attention to detail and high personal standards for accuracy.
• Superior customer service orientation and a professional approach; ability to interact with all levels within the organization.
• Project management experience considered an asset.
• Experience with Trading Supervision and Conduct Risk considered an asset.
• Experience in developing and implementing solutions to support governance and control frameworks considered an asset.

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.

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.

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.