Associate, Regulatory and Supervisory Management

Work Location
:
New York, New York, United States of America

Hours
:
40

Line Of Business
:
TD Securities

Pay Detail
:
$150,000 - $150,000 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. 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.

• 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

• 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
• Reviews 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

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

• 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;…