Vp - Supervisory Regulatory Initiatives

3 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.
- Global Markets Supervision (GMS) provides First Line supervision accountabilities for across the business lines in Global Markets footprint. The primary focus of GMS is to carry out delegated Supervision responsibilities and facilitate a sustainable Front Office Supervision framework that supports effective supervision practices and escalates key issues arising from Global Markets sales, trading, and origination business activities. Specifically, GMS supports Front Office Supervisors with the execution of supervisory procedures in accordance with firm policy and regulatory requirements. The role reports to a Director, Trading Business Management.**Core accountabilities include**:

- Supervision responsibilities covering multiple business lines in Global Markets which may include but not limited to Fixed Income, Equities and Foreign Exchange Sales and Trading
- Primary contact to advise or coordinate with Global Markets supervisors and key support stakeholders on day-to-day supervision accountabilities; and regulatory or business conduct matters requiring escalation
- Administering Global Markets Swap Dealer and Volcker Business Compliance Programs; and Codes of Conduct
- Assist in administering Global Supervisory Procedures framework including assessment of change management intake, development of controls and updating supervisory accountability matrix
- 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
- Provide guidance and analysis of key metrics/trends and policy exceptions to Global Markets supervisors to ascertain control gaps, business conduct issues and training opportunities; examples include but not limited to:

- Advice and guidance on trading and sales activity in coordination with Second Line
- Conduct delegated First Line control activities and supervisory reviews
- Compile management reporting on trade capture metrics, regulatory/Conduct scorecards, policy exceptions and other ad hoc reporting as required
- Assess change management implications, enhance controls, and update global supervisory procedures in line with firm policy, regulatory requirements, or industry standard best practices
- Present technical matters and business requirements in forums with Second Line stakeholders and drive GMS initiatives in support of business activities
- Coordinate with Compliance, Global Markets supervisors, other TBM teams and other stakeholders to respond to regulatory inquiries and Audit requests
- Interface with Internal and External Auditors/Examiners as needed
- Contribute metrics to Conduct Risk Committees and Vice Chair supervision forums
- 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.
- Work in support of GMS initiatives for the FHN and Cowen integrations
- Other Duties as assigned by the Director including coordinating audit/1B/ Compliance testing reviews and acting as secretariat for other TBM committees/forums

**Job Requirements**
- Post-secondary degree with Canadian Securities Course required
- Working knowledge or strong understanding of securities or derivatives markets, products, transactions, or process flows; and related regulatory requirements or supervisory procedures/controls, strongly preferred
- Must be comfortable interacting with Trading & Sales teams, Front Office supervisors and Second Line risk and control functions
- Strong understanding of key non-financial (e.g., market, credit, operational, conduct) risk concepts and applicability to business activities preferred
- IIROC or equivalent licenses or registrations would be ideal
- Demonstrate ability to influence key stakeholders to achieve consensus and meet requirements
- Must have strong analytical and problem-solving skills; be detail oriented; and demonstrate initiative to follow up on items or determine appropriate steps for timely resolution
- Demonstrates ability to work independently as well as in a team environment
- Proficient with MS Office Suite, including high-level competency in Excel with ability to create pivot tables, macros, and

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