Associate, Regulatory and Supervisory Management

TD•New York, NY

4d•Onsite

About The Position

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.

Requirements

Bachelor's degree required
3+ Years of related experience
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
Squatting – Occasional
Bending – Occasional
Reaching forward – Occasional
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

Nice To Haves

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.

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
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