Associate, Regulatory and Supervisory Management

About the Role

Regulatory and Supervisory Management (RSM) proactively supports TD Securities' Global Markets sales, trading and origination businesses. 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. GMS maintains strong relationships with registered Supervisors to oversee a myriad of controls and acts as a delegate on select activities. Development and maintenance of Supervisory programs, policies and procedures to manage global markets sales, trading and origination activities is a core competency.

The Associate is responsible for helping TD Securities trading businesses achieve best-in-class strategies, operating processes, controls and infrastructure. This position supports the trading/sales managers and business heads at the Dealer, providing them with business management support, management information, desk-based supervision support, supplemental trading supervision and project support.

Responsibilities

• Support supervisory reviews related to market conduct, communications, best execution, and regulatory reporting obligations across multiple asset classes while validating exception reporting to identify trends, emerging risks, and control gaps
• 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
• Coordinate with Compliance, Operations, Global Markets supervisors, and other RSM teams to respond to regulatory inquiries and Audit requests
• Escalate potential regulatory, conduct, trading, or supervisory concerns in accordance with established procedures
• Support special projects related to regulatory initiatives, technology implementations, and supervisory framework enhancements
• Support the review and maintenance of Written Supervisory Procedures (WSPs), supervisory evidence, and control documentation
• Participate in internal or external business meetings/forums/committees as needed

Qualifications

• Bachelor's degree required
• 3+ Years of related experience

Preferred Qualifications

• Preferred 2-3 plus years of experience in the capital markets industry with strong subject matter expertise in financial markets, regulatory requirements, industry best practices, and related systems and infrastructure processes
• Knowledge of US Broker Dealer regulation related to communications surveillance and record retention
• Familiarity with front-office trading systems and surveillance tools such as Behavox, Smarsh, Social Patrol, etc.
• Experience interacting with regulators, compliance testing teams and auditors
• Strong ability to work with Technology, Compliance, Legal or Risk partners to deliver program requirements and ongoing upkeep of standards
• Strong conceptual, analytical and problem-solving skills; have an eye for detail; initiative to follow up on items or quickly determine steps for timely resolution
• A self-starter who can think critically while also able to collaborate with business, infrastructure support and control contacts to achieve strategic and tactical objectives
• Enjoy working in a fast-paced environment, able to manage competing and ever-changing priorities while under pressure, adapts well to changing priorities
• Team player with ability to influence and achieve results through effective negotiation, and problem solving
• Excellent written and verbal communication skills
• Regulatory licenses a plus

Pay

$125,000 - $125,000 USD

Schedule

40 hours