Senior Manager, TDS Operations

TD•Toronto, ON

1d•CA$115,600 - CA$153,200•Onsite

About The Position

The Regulatory Reporting Group (RRG) has operational oversight to ensure compliance standards are being met for an assortment of regulatory reporting mandates globally, on behalf of TD Securities (TDS). The team is responsible for maintaining BAU functions, delivering against Change Initiatives and driving efficiencies aimed at providing a robust, scalable, and flexible infrastructure, whilst maintaining and managing the risk appetite. The Senior Manager, Regulatory Reporting Group is responsible for leading a team of regulatory reporting professionals in managing the trade reporting process to various regulatory bodies. Knowledge of global regulations, such as G20, IIROC, MiFID, LOPR, SFTR, etc., is required. In this role, you will be responsible for partnering with stakeholders to ensure regulatory and trade reporting obligations are met, implement changes to meet evolving reporting requirements and continue to strive for providing the best client experience possible. You should be comfortable with the regulations to assess and challenge the manner in which we define and report on regulatory obligations, as we are continually looking to improve upon our compliance and efficiencies. The successful candidate will demonstrate business, technology and regulatory aptitude by assisting and implementing in the global strategy for Operations, which enables the business to meet its short and long-term objectives. The Senior Manager, Regulatory Reporting will be accountable for overseeing the day-to-day Operations and be a trusted partner with local and global stakeholders. The Senior Manager will be responsible for risk reporting and escalation to the AVP, Global Head of Regulatory Operations & Reconciliations.

Requirements

7-8 years of Global Markets, Risk/Compliance Operations, and/or regulatory reporting experience
Subject matter expertise within transaction reporting across US and Canadian regulations including but not limited to FINRA, CFTC, SEC, Canadian reporting requirements, CIRO etc.
Solid Knowledge of US regulations is a key requirement
Solid knowledge of Capital Markets products and willingness to continue enhancing knowledge
Strong relationship management skills required to handle both internal and external stakeholders
Detail-oriented with the ability to work independently with competing priorities in a fast-paced environment
University Degree at a minimum is required

Nice To Haves

Familiarity with Python and/or other data analytics tools like Alteryx, SQL is an asset
Understanding of applications such as JIRA, Confluence, Broadridge is an asset
Masters degree is an asset
Experience with client data systems and processes is preferred

Responsibilities

Oversee the successful submission of regulatory reporting and manage the resolution of discrepancies that arise.
Liaise with various internal stakeholders, such as Compliance and Technology, globally, as well as keeping senior leadership comprised of any concerns as they are identified.
Support implementation plans based on operationalization of the regulatory trade reporting requirements, which requires an in-depth understanding of the regulations.
Work closely with Technology to define business requirements and test cases, including the review & approval of test cases.
Assist in the design and implementation to ensure reporting accuracy, completeness, and timeliness of internal procedures and controls for trade reporting.
Bring efficiencies and maturity to processes from an internal perspective, with the use of small tech capabilities such as Python, Alteryx and UiPath.
Design, influence and deliver upon initiatives.
Work closely with partner groups (Internal Audit, Compliance, Technology, etc.) regarding trade data quality and trade reporting inquiries.
Strive to create efficiencies across the teams and obtain formal guidance on interpretation of regulatory reporting requirements, and escalate, as needed.
Proactively identify issues and scenarios for resolution prior to being identified by regulators and clients.
Support audits and exams as the regulatory reporting SME.
Liaise with examiners, provision of data and information upon request, and coordinating with other internal stakeholders to ensure alignment.
Track, action, and complete post-examination requirements by prescribed deadlines to meet regulator and auditor expectations.
Effectively manage relationships with internal stakeholders (Technology, Operations, Compliance and Client Data Management) to operationalize regulatory reporting processes.
Act as the liaison between stakeholders to drive delivery of trade regulatory reporting projects and resolve daily issues.
Participate in trade regulatory project meetings, and as required, provide status and issue reports to Senior Management.
Liaise on a regular basis with individuals in the various Lines of Business, at various levels, to gather and validate information, document, and test controls, along with monitoring and tracking.
Work with the Chief Data Office to identify, define and document critical data elements and other information necessary to comply with regulatory trade reporting requirements.
Assist counterparties in resolving trade reporting issues and developing strong partnerships with the Business Leaders and Infrastructure Partners to ensure timely resolution of issues impacting clients.
Proactively identify issues and scenarios that could impact the client experience and work towards resolving them before they result in trade reporting discrepancies.