Director, Institutional Equity Sales

TD•Chicago, IL

1d•Onsite

About The Position

TD Securities’ Midwest and Texas–based Institutional Sales team is seeking to add a senior sales professional to support its growing equities franchise. This individual will ideally be based in the firm’s Dallas office and will have primary responsibility for institutional client coverage across the state of Texas. In addition, the role will serve as a key contributor to the broader Midwest sales platform, supporting clients across Illinois, Missouri, Iowa, Wisconsin, Ohio, and Michigan. The Director Sales and Trading TDS develops the Banks Sales, Trading, & Underwritings in New York, ensuring positions are within approved limits while maintaining and enhancing the Banks profile and market share.

Requirements

Undergraduate degree in Business (Accounting or Finance) or Mathematics/Economics.
Series 7 and 63
7-10 years related experience

Responsibilities

Liaises with the Banks other operations in New York to assist in meeting the Banks objectives
Strict adherence personally and at a desk level to the firms procedures
Fully informed on market data, economic information and key industry developments as well as regulatory standards at all times to assist in maximizing profitability through sound and well informed decisions
Develops and maintains contacts with market participants
Responsible for practicing and communicating bank policy information and strategy between your product head and relevant trading personnel
Understands and complies with TD Securities (USA) Policies, regulatory and compliance requirements, ensuring that transactions are fully documented and processed accurately and in a timely manner
Responsible for being aware of and understanding the approved Business Strategies (Strategic Business Reviews SBRs), applicable to your business, and ensuring that all of your business dealings are in alignment with these strategies
If you are a Trader or are in a Hybrid role, in your capacity as a Trader, you are bound by your Trading Authority Letter (TAL)
If you are a Trader or are in a Hybrid role, in your capacity as a Trader, you are bound by the Market Risk Policies applicable to your business and are responsible for being aware of and understanding the approved Trading Strategies (associated with the respective Market Risk Policies) applicable to your business, and ensuring that all of your trading activity is in alignment with those Strategies
If you are a Trader or are in a Hybrid role, in your capacity as a Trader or Trading Supervisor of an employee acting in a Trading capacity, you are responsible for ensuring that trades are entered into the trading system on a timely basis and for ensuring that positions are appropriately valued
If you are in a Sales or Hybrid role, in your Sales role capacity, you must obtain a current market price from an appropriate trader, either verbally or electronically, prior to entering into a binding transaction
Bound by Credit Risk Policies and procedures, as they apply to your business and are responsible for being aware of and understanding such policies and procedures and ensuring that trading activity is in line with those policies
Required to read and understand the Trading Supervision Standard
Required to demonstrate governance, control and risk management behaviors in alignment with TD policies and practices