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About the Role

The Associate supports TD Securities trading businesses in achieving best-in-class strategies, operating processes, controls, and infrastructure. This position provides business management support, management information, desk-based supervision support, supplemental trading supervision, and project support to trading/sales managers and business heads at the Dealer.

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.
• Prepare 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 review and maintenance of Written Supervisory Procedures (WSPs), supervisory evidence, and control documentation.
• Participate in internal or external business meetings/forums/committees as needed.
• Facilitate the surveillance of Trading and Sales activities to be in line with regulatory rules and industry standard practices.
• Perform supervisory reviews as described by the firm, Written Supervisory Procedures.
• Document Regulatory Reviews and the escalations of issues.
• Work with Legal and Compliance Departments to implement various required supervisory reviews and/or update existing reviews.
• Facilitate Trading Management’s control, governance and adherence to all policies, procedures and regulations.
• Review electronic and voice communications for assigned businesses.
• Assist in exception reporting reviews and reporting reviews for assigned businesses.
• Report all questionable emails including but not limited to customer complaints, unapproved outside business activities, indications of use of unauthorized domains, unapproved sales literature or correspondence.
• Report correspondence that may be deemed inappropriate, false, deceptive or misleading or questionable in a timely matter.
• Summarize all reviews for formal presentation to Senior Management.

Requirements

• 3+ Years of related experience.
• Preferred 2-3 plus 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 and surveillance tools such as Behavox, Smarsh, Social Patrol, etc.
• 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.

Skills

• Market conduct
• Communications surveillance
• Best execution
• Regulatory reporting
• Exception reporting
• Risk identification
• Control gap analysis
• Written Supervisory Procedures (WSPs)
• Regulatory inquiries
• Audit requests
• Supervisory concerns
• Technology implementations
• Supervisory framework enhancements
• Capital markets
• Financial markets
• Industry best practices
• Front-office trading systems
• Surveillance tools
• Problem-solving
• Critical thinking
• Collaboration
• Negotiation

Location

• New York, New York, United States of America

Work Type

• Full-time

Experience Level

• Associate
• 3+ Years of related experience
• 2-3 plus years of experience in the capital markets industry

Education Level

• Bachelor's degree required

Salary/Compensations

• $125,000 - $125,000 USD

Benefits

• Health and well-being benefits
• Savings and retirement programs
• Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
• Banking benefits and discounts
• Career development
• Reward and recognition
• Training programs
• Online learning platform
• Mentoring programs

About the Company

• TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients.
• With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple.
• Our services include underwriting and distributing new issues, providing trusted advice and industry-leading 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 highly-diverse equity research franchise, while growing our strong, diversified investment bank.
• Together, we are reimagining what banking can be for our clients, colleagues and communities.

Equal Opportunity

• TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
• If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.