Director, Global Markets Supervision - Communications Program

TD • New York, NY

7d • $250,000 - $250,000

About The Position

Global Markets Supervision (GMS) is accountable for establishing the programs and frameworks required to satisfy regulatory obligations and manage employee conduct and behaviors to ensure compliance. 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 Director, Global Markets Supervision (GMS), is responsible for the planning, direction, and coordination of trading operations within TD Securities (TDS). This position is also responsible for overseeing the development of policies and procedures. This role will be focused on managing communication surveillance and retention programs for the firm. The Individual will be responsible for driving a cohesive strategy for communication channels and surveillance, and retention of those communication channels across electronic, voice, mobile, video conferencing, and social media. This individual will be responsible for helping establish the tools, the methodology, the data controls, and managing relationship with vendors in conjunction with technology. This role will support all three of TDS' Wholesale Business lines globally, but will report into the Head of Global Markets Supervision.

Requirements

• Bachelors degree or progressive work experience in addition to experience below
• 7+ Years of related experience
• Strong project management skills
• Strong leadership, interpersonal and relationship-building skills are required
• Excellent analytical skills
• Excellent Microsoft Office skills in particular Excel
• Presentation skills required
• Strong team player and who can work in cross-organization situations
• Highly effective written and oral communication skills; excellent organizational skills

Nice To Haves

• 15+ 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 in a large banking institution
• Knowledge of surveillance tools such as Behavox, Smarsh, Social Patrol, etc.
• Experience working with regulators and auditors.
• Strong ability to work with Technology, Compliance, Legal or Risk partners to deliver program requirements and ongoing upkeep of standards.
• Able to understand detailed and technical issues, can distill and summarize the problems, and recommend solutions to senior management
• 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 and make decisions independently, while also able to collaborate with business, infrastructure support and control contacts to achieve strategic and tactical objectives
• Enjoys 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.

Responsibilities

• Manage key relationships with business line and Compliance to establish Business Requirements for communication initiatives, ensuring consistency and best practices across the approach.
• Manage channel ideation to onboarding with the Business and technology.
• Coordinate with enterprise and TDS technology stakeholders on workflow functionality, scenario configuration and recalibration of surveillance parameters
• Develop plans to implement data controls and deliver those controls including Confirm employee population for journaling and surveillance
• Monitor status of ingestion, retention and surveillance tools
• Manage regulatory and internal audit requests related to Communication Programs.
• Oversees the development and execution of strategic planning for unit
• Oversees program and project level forecasting and tracking
• Oversees the annual budget process
• Manages the headcount / resource process
• Leads and oversees the end-to-end delivery of requirements throughout the lifecycle of large scale/complex projects or programs requiring a cohesive approach to broad business solutions with full traceability to realize project benefits
• Provides advisory support, leadership direction and guidance to assigned Business Analyst resources, stakeholders an executives of the projects and/or program across multiple Lines of Business (LoB)

Benefits

• 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.
• 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.
• regular development conversations
• training programs
• competitive benefits plan
• online learning platform
• mentoring programs

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level