VP - Regulatory and Supervisory Management

TD•New York, NY

4d•Onsite

About The Position

The Regulatory and Supervisory Management (RSM) group 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. RSM maintains strong relationships with registered Supervisors to oversee a myriad of controls and acts as a delegate on select activities. This role will be responsible for the development and maintenance of Supervisory programs, policies and procedures to manage global markets sales, trading and origination activities is a core competency. The Vice President - Regulatory and Supervisory Management role is responsible for providing the leadership team with information, reporting, and support to ensure Trading operational risks are appropriately managed and adherence to internal policies/procedures and applicable regulatory guidelines is effective. This position also works with management/control function partners (e.g., Risk, Legal, Compliance, AML, and Audit) to assess risks, develop and implement proactive strategies, tactics, and programs to effectively manage regulatory and governance issues for the Trader environment.

Requirements

Undergraduate degree in Business (Accounting or Finance) or Mathematics/Economics
Series 7 and 63
5-7 Years of related experience
Sound to advanced knowledge of external competition, industry and/or market trends in relation to own function / business
Ability to provide guidance on Business Management matters and respond to inquiries from business unit staff
Must be detail oriented and possess problem-solving skills
Must be able to work independently with minimal supervision and establish priorities
Proficient in interpersonal communication (both oral and written), and have the ability to communicate effectively with all levels of staff and management

Nice To Haves

Preferred 5+ 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 Bloomberg TOMs and ION and surveillance tools such as Behavox, Smarsh, Social Patrol, etc.
Experience with TRACE and MSRB reporting requirements and associated supervisory controls
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 development and maintenance of Written Supervisory Procedures (WSPs), supervisory evidence, and control documentation.
Contribute to committee materials and senior management reporting related to regulatory risk, supervisory oversight, and control effectiveness.
Participate in internal or external business meetings/forums/committees as needed.