Job Description

Work Location: États-Unis d'Amérique Hours: 40 Secteur d’activité: Gestion des affaires, Stratégie et soutien Pay Detail: $175,000 - $200,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. Job Description: Job Overview: 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. Core Accountabilities: 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. 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. Execute internal control procedures in accordance with the Volcker Enhanced Compliance Program and provide guidance on Trading Desk Policies. 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. Education & Experience: Undergraduate degree in Business (Accounting or Finance) or Mathematics/Economics. Series 7 and 63. 5-7 Years of related experience. Sound to advanced knowledge of external competition, industry and/or market trends in relation to own function / business. Ability to provide guidance on Business Management matters and respond to inquiries from business unit staff. Must be detail oriented and possess problem-solving skills. Must be able to work independently with minimal supervision and establish priorities. Proficient in interpersonal communication (both oral and written), and have the ability to communicate effectively with all levels of staff and management. 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. #J-18808-Ljbffr TD Bank

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