Vice President, Regulatory And Supervisory Management, Td Securities

Vice President, Regulatory and Supervisory Management, TD Securities




423457BR




Job Category - Primary




Securities / Wholesale Banking




Work Location




1 Vanderbilt Avenue TDS




Employment Type




Regular




City




New York




Time Type




Full Time




State




New York




Hours




40




Pay Range




$140,000 - $185,000 annually




Benefits




For an overview of TD's Benefits program, please visit TD's Total Rewards site




Department 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 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.
The role reports to the Director, Global Markets Fixed Income Supervision.




Job Details




Depth & Scope:


Leads and manages the Trader business management functional area and overall operation of a diverse group in an area of moderate risk, complexity or scope


Ensures an integrated approach with other business management areas, broader organization, and enterprise as appropriate


Deep knowledge and understanding of businesses / technology, and organizational practices/ disciplines


Focuses on short to medium-term issues (e.g.
6-12 months)


Generally reports to a Senior Manager or above




Job Requirements




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


Additional Requirements:


Must be eligible for employment under regulatory standards applicable to the position.




Qualifications




Preferred Qualifications/Competencies/Accreditation:


Solid background/experience working in Capital Markets/Financial Services industry across various Fixed Income (including Rates and Credit) asset classes


An understanding in front to back process flows, and regulatory requirements strongly preferred


Strong working knowledge of Fixed Income regulation, more specifically FINRA rules & regulations, industry best practices and supervisory requirements


Must be comfortable interacting with Trading & Sales teams and Desk Heads/Supervisors


Understanding of key non-financial risk (e.g.
market, credit, operational) concepts, controls and applicability to business activities preferred


Demonstrate ability to influence key stakeholders to achieve consensus and meet objectives


Must have strong analytical and problem-solving skills; be detail oriented; and demonstrate initiative to follow up on items or determine appropriate steps for timely resolution


Demonstrates ability to work independently as well as in a team environment


Proficient with MS Office Suite, including high-level competency in Excel with ability to create pivot tables, macros, and write/edit code in VBA preferred


Must demonstrate ability to manage multiple tasks and deadlines; and flexibility to adapt well to changing priorities


As many of the tasks are regulatory focused reviews, the ability to work with Legal and Compliance to interpret regulation or policy and assess applicability to business activities is paramount in this role


Must be able to foster key relationships with senior Business Leaders or stakeholders


Proactive and quick learner with ability to take on new responsibilities and prioritize workload as required


Must have excellent verbal and written communication skills


Knowledge of TDS policies and procedures and Global markets infrastructure a plus




Company Overview




Our Values


At TD, we're guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and behaviors.
In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care.
No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career, and be part of our caring and inclusive culture.




Making Your Well-being a Priority


A caring and supportive culture that promotes colleague well-being is core to who we are.
At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars — physical, financial, social and mental/emotional.
In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth.
Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best.




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.




How We Work


At TD, we believe in-person connections fuel collaboration and collective creativity.
Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team.
Our teams work in one of three workplace models: hybrid, onsite and primarily remote.
Wherever our colleagues are working, they'll always have access to the TD community to experience our culture of care.




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.




Inclusiveness




Our Commitment to Diversity, Equity, and Inclusion


At TD, we're committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported.
We're dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.




EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.




Accommodation


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




How We're Helping Make an Impact in Communities


TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future.
That's why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative.
Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health.
It's our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.




We look forward to hearing from you!




Business Line




TD Securities




Job Category(s)




Securities / Wholesale Banking




Country




United States




State (Primary)




New York




City (Primary)




New York




Job Expires




29-Nov-2023