VP - Regulatory and Supervisory Management

Work Location

New York, New York, United States of America

40

TD Securities

$200,000 - $200,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

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.

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. RSM maintains strong relationships with registered Supervisors to oversee a myriad of controls and acts as a delegate on select activities.

This role will be responsible for the development and maintenance of Supervisory programs, policies and procedures to manage global markets sales, trading and origination activities is a core competency.

Vice President
- Regulatory and Supervisory Management role is responsible to provide the leadership team with information, reporting and support to ensure Trading operational risks are appropriately managed and adherence to internal policies / procedures and applicable regulatory guidelines is effective. This position also works with management / control function partners (e.g. Risk, Legal, Compliance, AML and Audit) to assess risks, develop and implement proactive strategies, tactics and programs to effectively manage regulatory and governance issues for the Trader environment.

• 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 development and maintenance of Written Supervisory Procedures (WSPs), supervisory evidence, and control documentation
• Contribute to committee materials and senior management reporting related to regulatory risk, supervisory oversight, and control effectiveness.
• Participate in internal or external business meetings/forums/committees as needed

• 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

• 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

• Preferred 5+ 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 Bloomberg TOMs and ION and surveillance tools such as Behavox, Smarsh, Social…