Associate - Trading Business Management

1 week ago

Toronto, Ontario, Canada TD Bank Full time

TD Description
Stay current and competitive. Carve out a career for yourself. Grow with us.

Department Overview

  • TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience.
  • With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industryleading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highlydiverse equity research franchise, while growing our strong, diversified investment bank.
  • We are growthoriented, peoplefocused, and communityminded. As a team, we work to deliver value for our clients every day.
  • Trading Business Management proactively supports TD Securities' Sales and Trading businesses to achieve sustainable strategies, supervision, operating practices and governance aligned with regulatory requirements and Bank policies and appetite.
  • This group is responsible for performing the supervision of trading by conducting reviews, documenting findings, and escalating exceptions in accordance with TD Securities policies and procedures.
  • The Associate will be responsible for providing a broad range of production, coordination and reporting services and support to ensure adherence to established policies, procedures, governance standards, risk appetite and/or regulatory requirements. Reviews performed are undertaken on behalf of the TD Securities Front Office Supervisors and the Associate will work closely with the Front Office, other TBM partners, other support groups including TDS' Compliance groups.

Key accountabilities include:

  • Knowledge & understanding of the function and/or business supported through the above noted policies and procedures;
  • Conducting various Global Markets Supervision reviews in strict timelines and in accordance with regulatory, internal audit, and other business trading requirements and guidelines;
  • Lead smaller initiatives and ad hoc projects as required
  • Identify, investigate, and escalate findings from conducting Global Market Supervision reviews to the relevant Supervisor and/or to Compliance as required;
  • Responsible for the review of electronic and voice communications for front office personnel globally in accordance with regulatory and internal policies;
  • Act in a backup capacity for other Global Markets Supervision Analysts and conduct ad hoc reviews as required;
  • Collect and compile exception data for the purposes of the monthly reporting provided to relevant Supervisors and Vice-Chairs in the form of Front Office Supervision Packs;
  • Assist with the ongoing change management process with respect to the Global Markets Supervision Procedures that are applicable to the Front Office supervisors;
  • Expected to conduct and modify current Global Markets Supervision reviews and processes as required in coordination with Compliance;
  • Take on new Global Markets Supervision initiatives as required.

Job Requirements

  • Postsecondary degree with Canadian Securities Course preferred;
  • Working knowledge of Equities, Derivatives, and Fixed Income rules and procedures from both a front and back office perspective preferred;
  • Proficient with MS Office Suite, including competency in Excel with ability to create pivot tables, macros, and write/edit code in VBA preferred;
  • Strong organizational skills and highly detailed oriented;
  • Ability to manage and work under tight deadlines, multitask and adapt well to changing priorities;
  • Strong customer service orientation and a professional approach; ability to interact with all levels within the organization including Sales and Trading personnel, Front Office Management, Compliance, Internal Audit, Operations and Risk;
  • Excellent analytical, verbal and communication skills.

Additional Information
- #LI-onsite

Inclusiveness


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported.

We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve.

If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.


Job Family

  • TDS Securities

Job Category - Primary

  • Securities / Wholesale Banking

Job Category(s)

  • Securities / Wholesale Banking

Hours

  • 37.5

Business Line

  • TD Securities

Time Type

  • Full Time

Employment Type

  • Regular

Country

  • Canada

Province/State (Primary)

  • On

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