Associate, Regulatory and Supervisory Management

Associate, Regulatory And Supervisory Management

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business: TD Securities

Pay Detail: $125,000 - $125,000 USD

Job Description:

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.

Key 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

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 s electronic and voice communications for assigned businesses
• Assists in exception reporting reviews and reporting reviews for assigned businesses
• 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
• Summarizes all reviews for formal presentation to Senior Management

Education & Experience:

• 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…