Work Location:

United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$93,000 - $140,000 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.

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:

Job Overview:

Regulatory & Supervisory Management proactively supports the TD Securities Global Markets' businesses to achieve: sustainable business strategies; effective and efficient operational processes; effective supervision and control processes; and alignment with the Bank's risk appetite and regulatory requirements.

The Global Markets Venue Management (GMVM) Associate specifically supports the GMVM Director in the remediation of identified risks and gaps in the current process, the establishment of a new target operating model for centralized ownership of multiple venue management processes and accountabilities, and the implementation of a robust venue management team to manage the process in BAU.   

Primary accountabilities includes supporting the construction of a number of key process improvements across: establishment of an official book-of-record of Global Markets venues including up-to-date data and information for venue and products traded , maintenance of a venue onboarding and change management playbook, accountability for venue relationship management, venue rulebook management process, venue limits compliance process, support for surveillance metrics capture and completeness of trade reporting, implementation of access controls, and Business Continuity Management provision.

The GMVM Associate will support the GMVM Director with the planning, management, and delivery of a robust TD Securities Global Markets Venue Management mandate through all specific phases in alignment with business strategies.

Specific job accountabilities include:

• Engage and collaborate with appropriate partners to identify and manage required outcomes of key deliverables
• Assist in the establishment of effective oversight and engage the correct levels to support the direction for the mandate
• Assist in the establishment of a RACI of the multiple business partners' roles and accountabilities in terms of the both the mandate deliverables and Venue Management BAU
• Respond to inquiries and escalate concerns from stakeholders at all levels in the organization
• Provide advice and guidance to business partners and supporting teams as required
• Monitor and track key deliverables
• Proactively identify and track risk and issues, as well as assist in the development of mitigation plans to manage risks and issues
• Provide regular reporting as well as ad-hoc analysis, and present issues requiring attention by senior management

The Associate - TBM 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.

Depth & Scope:

• Interacts with various levels of Trading & Sales Management dependent on the task
• Facilitates the surveillance of Trading and Sales activities to be in line with regulatory rules and industry standard practices
• Performs supervisory reviews as described by the firm, Written Supervisory Procedures
• Documents Regulatory Reviews and the escalations of issues
• Works with Legal and Compliance Departments to implement various required supervisory reviews and/or update existing reviews
• Facilitates Trading Management’s control, governance and adherence to all policies, procedures and regulations
• Review Email for assigned businesses
• Assist in desk-based surveillance
• Assists in exception reporting reviews and reporting reviews for assigned businesses
• Monitors Day-to-day front office electronic communications (including corporate e-mail, instant messages, Firm blackberry, Bloomberg messages and Instant messaging, external messaging communications via AOL, Reuters Mindalign and emailed attachments)
• Reports all questionable emails including but not limited to customer complaints, unapproved outside business activities, indications of use of unauthorized domains, unapproved sales literature or correspondence
• Reports correspondence that may be deemed inappropriate, false, deceptive or misleading or questionable in a timely matter
• Maintains a weekly log of all statistics and percentages of emails reviewed and able to provide weekly reporting documenting
• closed and outstanding issues
• Summarizes all reviews for formal presentation to Senior Management

Education & Experience:

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

Preferred Qualifications:

• Deep experience in the capital markets industry with strong subject matter expertise in financial markets, regulatory and compliance requirements, electronic trading, third party venues, related systems, and supporting infrastructure processes;
• Strong conceptual, analytical, and problem-solving skills; have an eye for detail; initiative to follow up on items or determine appropriate steps for timely resolution;
• Able to understand detailed and technical issues, can distill and summarize the problems, and recommend solutions to senior management;
• A self-starter who can think critically and make decisions independently, while also able to collaborate with business, infrastructure support and control contacts to achieve strategic and tactical objectives;
• Enjoys working in a fast-paced environment, able to manage competing and ever-changing priorities while under pressure, adapts well to changing priorities;
• Proficiency in MS Office(Excel in particular), and prior experience/exposure in utilizing Power Automate, UiPath, Alteryx, Tableau;
• Team player with ability to influence and achieve results through effective negotiation, and problem solving;
• Excellent written and verbal communication skills.

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 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. 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.

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

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

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.