Vp - Supervision Regulatory Initiatives - Trading

4 weeks ago

Toronto, Canada TD Bank Full time

**TD Description**

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

**Department Overview**
- Trading Business Management (TBM) proactively supports TD Securities' Global Markets businesses to achieve sustainable strategies, supervision, operating practices and governance aligned with regulatory requirements and Bank policies and risk appetite.
- The Global Markets Supervision & Regulatory Initiatives team within TBM manages the Front Office Supervision framework, promoting a strong culture of supervisory engagement, considering industry best practice and regulatory change.-
**Design accountabilities include**:

- TBM lead as part of the POC of new communication surveillance platforms:

- Working with respective teams internal and externally to design platform functionality to embed seamlessly into the GM Supervisor framework will also offering room for future growth in terms of volume and additional communications channels
- Manage testing and escalation of any issues identified to external vendors and Technology.
- Assist with set up and training of other TBM users where required
- Primary point of contact for TBM on all communication surveillance platforms. This includes managing relationships with external vendors / Technology and overseeing remediation of any system issues identified.

**BAU accountabilities include**:

- Conduct communication reviews to detect and identify potential business communications exceptions and/or misconduct across all Global Markets businesses, coordinating analyst assigned groups to connect the dots across businesses, employee, and regions.
- Manage and review dashboards for tracking of TBM team escalations, completion and associated metrics.
- Manage and coordinate assigned business packs for Institutional Equities including the compilation and ultimately obtaining monthly signoffs from Supervisors(s) on a timely basis.
- Work in collaboration with key stakeholders to create, enhance and implement surveillance scenarios and other business conduct reviews and provide a strategy on what a more robust communication plan should be based on the full capability of the product
- Review and assess existing communication surveillance reviews on a holistic basis and propose refinement, targeted enhancements. This includes but is not limited to regular review of existing reviews to further enhance the effectiveness of our reviews.
- Coordinate with Technology, external vendors and other senior stakeholders to implement policy and calibration changes where required.
- Ensure strong collaboration with the first line communication surveillance program and manage the governance in the processes including managing of the Monthly Communication Surveillance Forum. This may involve engaging business managers, other project team members involved to ensure TBMs approach is appropriate, and transparent with other stakeholders.
- Design and manage production and recommend metrics and other Management Information reporting to demonstrate effectiveness of communication surveillance program.
- Assist with drafting responses to any internal or external audits or other Regulatory reviews.
- Ability to pro-actively identify and raise issues (i.e. gaps in coverage or system capabilities deficiencies) and suggest remediation alternatives
- Work in support of GMS initiatives for the FHN and Cowen integrations

**Job Requirements**
- Must have at least 3 years of experience in Capital Markets with experience in e-comm and v-comm surveillance
- Ability to learn and adapt quickly in a fast-paced environment.
- Experience of working with large volume of data and strong analytical skills.
- Ability to draw conclusions and identify risks from large datasets.
- Excellent organizational skills, with the ability to work in fast paced environment and manage deadlines.
- Attention to details and high personal standards for accuracy.
- Strong written and verbal communication skills; Comfortable communicating with all levels within the organisation.
- Strong problem-solving skills and ability to proactively identify risks / issues and recommend solutions.
- Understanding of regulatory environment and front office supervisory framework.
- Must be proficient in MS Word, and PowerPoint and a high-level competency in Excel with ability to create pivot tables, macros, and write/edit code in VBA preferred.

**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 Securi

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