TD Securities
Director - Regulatory & Supervisory Management, E-Trading Supervision, TD Securi
TD Securities, New York, New York, us, 10261
Director - Regulatory & Supervisory Management, E-Trading Supervision, TD Securities
Global Markets Supervision (GMS) is accountable for establishing the programs and frameworks required to satisfy regulatory obligations and manage employee conduct and behaviors to ensure compliance. GMS maintains strong relationships with registered Supervisors to oversee a myriad of controls and acts as a delegate on select activities. Development and maintenance of Supervisory programs, policies and procedures to manage global markets sales, trading and origination activities is a core competency. The Director Trading Business Management TDS is responsible for the planning, direction, and coordination of trading operations within The Bank. This position is also responsible for overseeing the development of policies and procedures. Key Responsibilities
Manage key relationships with business line supervisors and serve as primary contact to advise or coordinate with key stakeholders on day to day supervision, regulatory or business conduct matters requiring escalation, working in close coordination with Compliance stakeholders Perform Delegated Supervisory Tasks on behalf of the businesses' heads and keep them up to date on pertinent supervisory matters within their business Develop and maintain WSPs and Desk Operating Procedures for related Business lines Drive projects improving and maintaining tools supporting the electronic trading control framework Assist in the onboarding of new automated trading activities Assist in risk assessment and market abuse risk assessments for approvals Assist in the investigation of e-trading related Operational Risk Events Work with Supervisors on a day-to-day basis to analyze key metrics/trends and review market/business conduct escalations; follow up on action items or take-aways Support the ongoing management and enhancement of comprehensive written supervisory procedures and desk operating procedures customized to e-trading/algo trading business activities Provide Global Markets Supervisors with interpretive guidance and best practices relating to key metrics and business conduct issues Liaison with other Divisions, such as Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions Contributing metrics to Conduct Risk Committees and Vice Chair/EMD supervision meetings Key stakeholders on Global Markets regulatory initiatives related to your businesses; participate in business initiatives to conduct supervision operational readiness assessments Participate in local committees, internal/external meetings or forums as needed Proactively seeks opportunities for continuous improvement and process enhancements to supervision framework and procedures; assist with relevant change management process Depth & Scope
Oversees the development and execution of strategic planning for unit Oversees program and project level forecasting and tracking Directs the communication of financial policies and procedures Manages monthly forecasting and client chargeback process Oversees the annual budget process Manages the headcount / resource process Leads and oversees the end-to-end delivery of requirements throughout the lifecycle of large scale/complex projects or programs requiring a cohesive approach to broad business solutions with full traceability to realize project benefits Provides advisory support, leadership direction and guidance to assigned Business Analyst resources, stakeholders and executives of the projects and/or program across multiple Lines of Business (LoB) Education & Experience
Bachelors degree or progressive work experience in addition to experience below 7+ Years of related experience Strong project management skills Strong leadership, interpersonal and relationship-building skills are required Excellent analytical skills Excellent Microsoft Office skills in particular Excel Presentation skills required Strong team player who can work in cross-organization situations Highly effective written and oral communication skills; excellent organizational skills Preferred Qualifications
15+ 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 15+ years compliance and regulatory experience along with a deep understanding of how an Electronic Trading Business Operates. Scope of Supervision accountabilities will be covering e-trading and Algorithmic (Algo) trading desks across Global Markets business lines, including FX, FI, and Equities. FINRA Series 7 & 24 licenses required Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry best practices and supervisory requirements Strong ability to work with Compliance, Legal or Risk partners to interpret regulation or policy and assess applicability to business activities and controls 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 Able to understand detailed and technical issues, can distill and summarize the problems, and recommend solutions to senior management A self-starter who can think critically and make decisions independently, while also able to collaborate with business, infrastructure support and control contacts to achieve strategic and tactical objectives Enjoys 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. Physical Requirements
Domestic Travel: Occasional International Travel: Never Performing sedentary work: Continuous Performing multiple tasks: Continuous Operating standard office equipment: Continuous Responding quickly to sounds: Occasional Sitting: Continuous Standing: Occasional Walking: Occasional Moving safely in confined spaces: Occasional Lifting/Carrying (under 25 lbs.): Occasional Lifting/Carrying (over 25 lbs.): Never Squatting: Occasional Bending: Occasional Kneeling: Never Crawling: Never Climbing: Never Reaching overhead: Never Reaching forward: Occasional Pushing: Never Pulling: Never Twisting: Never Concentrating for long periods of time: Continuous Applying common sense to deal with problems involving standardized situations: Continuous Reading, writing and comprehending instructions: Continuous Adding, subtracting, multiplying and dividing: Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are
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 industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day. Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition. Accommodation
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. Colleague Development & Training
Regular development conversations, training programs, and a variety of mentoring opportunities are available to help you unlock future opportunities. TD supports various career paths within the organization and provides onboarding and training to ensure success in new roles.
Interview Process
We’ll reach out to candidates of interest to schedule an interview and aim to communicate outcomes by email or phone. Note
The remaining sections about mass referrals, other job listings, and AI-generated notes have been omitted to focus on the primary job content and to comply with formatting and content standards.
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Global Markets Supervision (GMS) is accountable for establishing the programs and frameworks required to satisfy regulatory obligations and manage employee conduct and behaviors to ensure compliance. GMS maintains strong relationships with registered Supervisors to oversee a myriad of controls and acts as a delegate on select activities. Development and maintenance of Supervisory programs, policies and procedures to manage global markets sales, trading and origination activities is a core competency. The Director Trading Business Management TDS is responsible for the planning, direction, and coordination of trading operations within The Bank. This position is also responsible for overseeing the development of policies and procedures. Key Responsibilities
Manage key relationships with business line supervisors and serve as primary contact to advise or coordinate with key stakeholders on day to day supervision, regulatory or business conduct matters requiring escalation, working in close coordination with Compliance stakeholders Perform Delegated Supervisory Tasks on behalf of the businesses' heads and keep them up to date on pertinent supervisory matters within their business Develop and maintain WSPs and Desk Operating Procedures for related Business lines Drive projects improving and maintaining tools supporting the electronic trading control framework Assist in the onboarding of new automated trading activities Assist in risk assessment and market abuse risk assessments for approvals Assist in the investigation of e-trading related Operational Risk Events Work with Supervisors on a day-to-day basis to analyze key metrics/trends and review market/business conduct escalations; follow up on action items or take-aways Support the ongoing management and enhancement of comprehensive written supervisory procedures and desk operating procedures customized to e-trading/algo trading business activities Provide Global Markets Supervisors with interpretive guidance and best practices relating to key metrics and business conduct issues Liaison with other Divisions, such as Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions Contributing metrics to Conduct Risk Committees and Vice Chair/EMD supervision meetings Key stakeholders on Global Markets regulatory initiatives related to your businesses; participate in business initiatives to conduct supervision operational readiness assessments Participate in local committees, internal/external meetings or forums as needed Proactively seeks opportunities for continuous improvement and process enhancements to supervision framework and procedures; assist with relevant change management process Depth & Scope
Oversees the development and execution of strategic planning for unit Oversees program and project level forecasting and tracking Directs the communication of financial policies and procedures Manages monthly forecasting and client chargeback process Oversees the annual budget process Manages the headcount / resource process Leads and oversees the end-to-end delivery of requirements throughout the lifecycle of large scale/complex projects or programs requiring a cohesive approach to broad business solutions with full traceability to realize project benefits Provides advisory support, leadership direction and guidance to assigned Business Analyst resources, stakeholders and executives of the projects and/or program across multiple Lines of Business (LoB) Education & Experience
Bachelors degree or progressive work experience in addition to experience below 7+ Years of related experience Strong project management skills Strong leadership, interpersonal and relationship-building skills are required Excellent analytical skills Excellent Microsoft Office skills in particular Excel Presentation skills required Strong team player who can work in cross-organization situations Highly effective written and oral communication skills; excellent organizational skills Preferred Qualifications
15+ 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 15+ years compliance and regulatory experience along with a deep understanding of how an Electronic Trading Business Operates. Scope of Supervision accountabilities will be covering e-trading and Algorithmic (Algo) trading desks across Global Markets business lines, including FX, FI, and Equities. FINRA Series 7 & 24 licenses required Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry best practices and supervisory requirements Strong ability to work with Compliance, Legal or Risk partners to interpret regulation or policy and assess applicability to business activities and controls 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 Able to understand detailed and technical issues, can distill and summarize the problems, and recommend solutions to senior management A self-starter who can think critically and make decisions independently, while also able to collaborate with business, infrastructure support and control contacts to achieve strategic and tactical objectives Enjoys 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. Physical Requirements
Domestic Travel: Occasional International Travel: Never Performing sedentary work: Continuous Performing multiple tasks: Continuous Operating standard office equipment: Continuous Responding quickly to sounds: Occasional Sitting: Continuous Standing: Occasional Walking: Occasional Moving safely in confined spaces: Occasional Lifting/Carrying (under 25 lbs.): Occasional Lifting/Carrying (over 25 lbs.): Never Squatting: Occasional Bending: Occasional Kneeling: Never Crawling: Never Climbing: Never Reaching overhead: Never Reaching forward: Occasional Pushing: Never Pulling: Never Twisting: Never Concentrating for long periods of time: Continuous Applying common sense to deal with problems involving standardized situations: Continuous Reading, writing and comprehending instructions: Continuous Adding, subtracting, multiplying and dividing: Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are
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 industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day. Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition. Accommodation
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. Colleague Development & Training
Regular development conversations, training programs, and a variety of mentoring opportunities are available to help you unlock future opportunities. TD supports various career paths within the organization and provides onboarding and training to ensure success in new roles.
Interview Process
We’ll reach out to candidates of interest to schedule an interview and aim to communicate outcomes by email or phone. Note
The remaining sections about mass referrals, other job listings, and AI-generated notes have been omitted to focus on the primary job content and to comply with formatting and content standards.
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