Associate, Regulatory and Supervisory Management

Work Location:

Hours:

Line of Business:

Pay Detail:

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 at TD. Our 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.

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
• 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

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 business, infrastructure support and control contacts to achieve strategic and tactical objectives
• Enjoy working in a fast-paced environment, able to manage competing and ever-changing priorities while under pressure, adapts well to changing priorities
• Team player with ability to influence and achieve results through effective negotiation, and problem solving
• Excellent written and verbal communication skills.
• Regulatory licenses a plus.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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 strive to make every interaction, product and experience remarkably human and refreshingly simple.  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. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
 

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

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.