Associate, Supervision and Governance, Business Management, Corporate & Investment Banking

TD•Toronto, ON

21h•CA$81,600 - CA$115,200•Onsite

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. Position Overview: The Investment Banking group is a demanding environment and requires a self-starting, efficient person who works extremely well in a team, can manage multiple priorities at the same time, and thrives in a fast-paced, intense and exciting environment. In this first line of defense (1A) role, the Associate will work with leaders of the Business Supervision and Governance team to maintain a strong risk and control environment, supported by an effective supervisory program for the Corporate and Investment Banking business. The successful candidate will have a hands-on role in executing programs in support of the overall risk and control environment, acting as a business supervision center of excellence, including the completion of delegated supervision, The incumbent will act as a liaison between TDS support and control teams Senior Executives within the department and work closely with the Group Business Managers to oversee and execute business strategies, plans, and initiatives.

Requirements

FINRA Series 24 and Series 79 registered, or commitment to obtain within 6 months.
Experience in capital markets, compliance, audit, risk, control and governance or a related field
Be familiar with the Canadian and US capital markets regulatory landscape
Demonstrated ability to take a risk-based approach to decision making
Act with Due Skill, Care and Diligence
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
Experience with Behavox
Experience with JIRA and Confluence
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
An ability to communicate simply, directly, succinctly
Takes ownership and accountability for the quality of their work
Has strong attention to detail
Enjoys working in a collaborative team environment

Nice To Haves

Undergraduate Degree, CPA, MBA or other post-undergraduate education is preferred

Responsibilities

As part of the Supervision Center of Excellence responsible for maintaining and overseeing 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, and is operating within risk appetite.
Manage effective partnerships with the groups that support Corporate and Investment Banking – including 1B, Compliance, Legal, Audit, Risk and Technology – as well as fostering strong working relationships with the Group Business Managers, Industry Teams, Product Teams, and Regional Offices.
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, including providing remedial support for any findings.
Support continuous improvement towards a strong and mature business governance and control environment.
Maintain front-line procedures on a continual basis.
Performs additional duties and participates in special projects, as required
Foster an effective, transparent culture of risk awareness
Work well in a team but also be able to prioritize and manage own workload to deliver quality results and meet assigned timelines
Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency