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About the Role

The Vice President - Regulatory and Supervisory Management role is responsible for supporting TD Securities' Global Markets sales, trading, and origination businesses. This position provides leadership with information, reporting, and support to ensure trading operational risks are managed and adherence to policies and regulatory guidelines is effective. The role also collaborates with control function partners to assess risks and develop proactive strategies for managing regulatory and governance issues within the trading environment.

Responsibilities

Support supervisory reviews related to market conduct, communications, best execution, and regulatory reporting obligations across multiple asset classes, validating exception reporting to identify trends, emerging risks, and control gaps.
Prepare Monthly Supervision packs for Global Markets supervisors, lead meetings, document conclusions/actions, and confirm evidentiary documentation for supervisory accountabilities.
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.

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.
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.

Skills

Market conduct
Communications
Best execution
Regulatory reporting
Exception reporting
Risk identification
Control gap analysis
Supervisory reviews
Written Supervisory Procedures (WSPs)
Control documentation
Regulatory inquiries
Audit requests
Financial markets expertise
US Broker Dealer regulation
Communications surveillance
Record retention
TRACE reporting
MSRB reporting
Interpersonal communication
Problem-solving
Analytical skills
Conceptual skills

Location

New York, New York, United States of America

Work Type

Full-time

Experience Level

5-7 Years of related experience
Preferred 5+ years of experience in the capital markets industry

Education Level

Undergraduate degree in Business (Accounting or Finance) or Mathematics/Economics

Salary/Compensations

$165,000 - $165,000 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
Mentoring programs
Online learning platform

About the Company

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients, known for innovation, execution, and experience.
With over 6,500 professionals in 40 cities globally, TD Securities aims to make every interaction remarkably human and refreshingly simple.
Services include underwriting and distributing new issues, providing advice and insight, extending global market access, and delivering integrated transaction banking solutions.
In 2023, TD Securities acquired Cowen Inc., enhancing its U.S. equities business and equity research franchise.
TD is committed to reimagining banking for 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.