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About the position
TD Securities Corporate and Investment Banking provides a full range of financial advisory and capital-raising services to corporate and institutional clients globally. Our Relationship Managers work closely with our clients to understand their needs and bring them unique solutions to complex issues. The department is organized into areas of expertise by product, region, and industry. The Business Management Team within Corporate & Investment Banking is responsible for providing ongoing strategic and operational support, as well as supervisory oversight, to front-line Investment Bankers and Senior Executives within the department, such that their focus can remain on providing optimal client coverage and execution. The team liaises with various TDS and TDBG support partners to advance the needs of the department as well as assist with rolling out any firm- or bank-wide initiatives.
Responsibilities
- Maintain and oversee the business lines regulatory supervision activities and delegated supervisory processes.
- Execution lead on control with Corporate and Investment Banking front line professionals to ensure the business has adequately considered, managed, and mitigated risks in day-to-day activities, operations, products, and services.
- Manage effective partnerships with the groups that support Corporate and Investment Banking.
- Perform delegated business supervision and risk management activities as assigned.
- Complete electronic communications reviews to meet business and firm surveillance requirements.
- Perform Social Media monitoring to meet business and firm surveillance requirements.
- Perform content reviews for all marketing and pitch materials for the Corporate and Investment Bank.
- Participate in the design and implementation of controls within key processes and procedures.
- Collect and consolidate metrics on varying frequencies and deploy reporting tools to produce dashboards for supervisory and oversight committees.
- Assist in the delivery of various trainings and conduct escalation processes.
- Provide support with audit and testing engagements from regulators and second and third-line stakeholders.
- Support continuous improvement towards a strong and mature business governance and control environment.
- Maintain front-line procedures on a continual basis.
- Perform additional duties and participate in special projects, as required.
- Foster an effective, transparent culture of risk awareness.
- Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency.
Requirements
- 4 Year Degree or equivalent.
- 2+ years experience in compliance, audit, risk, operations, investment banking, or a related field within financial services.
- Credit and Financial statement analysis experience.
- Demonstrated ability to take a risk-based approach to decision making.
- Understanding of the bank's three lines of defense model.
- Ability to work and adapt in a fast-paced, dynamic environment.
- Experience with Excel, PowerPoint, Word, Visio, MS Teams.
- Strong analytical, problem-solving and critical thinking skills.
- Strong interpersonal and written/verbal communication skills.
- Ability to balance multiple, simultaneous priorities in a fast moving and demanding environment.
- Self-starter with the aptitude to work independently and/or in a team setting.
- Adept technical skills and/or the ability to quickly navigate new systems.
- Takes ownership and accountability for the quality of their work.
- Has strong attention to detail.
Nice-to-haves
- FINRA Series 24 and Series79 registered, or commitment to obtain within 6 months.
- Familiarity with the Canadian and US capital markets regulatory landscape.
- Experience with Behavox.
- Experience with JIRA and Confluence.
Benefits
- Base salary and variable compensation/incentive awards.
- 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 opportunities.
- Reward and recognition programs.
