TD Securities
Director - Regulatory & Supervisory Management, Business Regulatory Initiatives,
TD Securities, New York, New York, us, 10261
Director - Regulatory & Supervisory Management, Business Regulatory Initiatives, TD Securities
Join to apply for the
Director - Regulatory & Supervisory Management, Business Regulatory Initiatives, TD Securities
role at
TD Securities Work Location : New York, New York, United States of America Hours : 40 Line Of Business : TD Securities Pay Detail : $250,000 - $250,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Job Description The role will be part of TD Securities Business Regulatory Initiatives (BRI) team which plays a lead role in coordinating the approach to regulation and good practice principles for all jurisdictions in which TD Securities operates. BRI is a first line (1A) team which reports into the Business. BRI's portfolio of work covers General Securities Regulations, G20 OTC Derivatives Reform, Global Codes of Conduct Principles, FMSB Standards, Cross Border activities, Regulatory Compliance Management (RCM), Regulatory Exams, Audits & Testing and Examination Enforcement remediation. As a Director on the BRI team, you will stay on the forefront of the ever-evolving global and complex regulatory landscape, providing a holistic view to maximize achievable scale and efficiencies for the Business. Key Responsibilities Undertake detailed business impact assessments, provide recommendations to diverse group of stakeholders and influence the final position to be taken by the firm Perform current state reviews over existing regulatory and supervisory BAU processes upon request and proactive benchmarking against industry best practices and enforcement patterns Contribute to the strategic direction of Global Markets, Business Management, Supervision; help drive efficiency across teams and processes Participate in advocacy efforts in matters of importance to GM Develop content for Business sponsored targeted training / guidance Draft procedures and advise on procedures for sales and trading; map against compliance policies and RCM criteria Identify controls / drafting control descriptions for laws, rules, regulations impacting sales and trading 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 an 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 and who can work in cross-organization situations Highly effective written and oral communication skills; excellent organizational skills Preferred Qualifications Candidate should have 15 + years compliance and regulatory experience along with a deep understanding of how a Global Markets Sales & Trading business operates. Background building out and delivering regulatory programs and experience with Laws, Rules, and Regulatory mapping and control alignment. Preference for candidate to have knowledge of SEC, CFTC, FINRA, NFA, MIFID, MAS, Future exchange rules and have an understanding of conduct and market abuse scenarios. Knowledge of regulatory landscape in the following jurisdictions, US, Canada, UK, Europe, Asia Pacific Understanding of financial products, trading and trade lifecycle for the following asset classes: FX, Rates, Equity, Commodities, Credit Strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions. Strategic, collaborative, tactical and creative in your approach Able to build relationships and influence with cross-functional / cross-jurisdictional partners at various levels of the organization. Comfortable working in often ambiguous environments and can takes initiative to build something impactful from the ground up. Seeks intellectual challenge, desire to learn and committed to design and build impactful and scalable solutions 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 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.
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Join to apply for the
Director - Regulatory & Supervisory Management, Business Regulatory Initiatives, TD Securities
role at
TD Securities Work Location : New York, New York, United States of America Hours : 40 Line Of Business : TD Securities Pay Detail : $250,000 - $250,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Job Description The role will be part of TD Securities Business Regulatory Initiatives (BRI) team which plays a lead role in coordinating the approach to regulation and good practice principles for all jurisdictions in which TD Securities operates. BRI is a first line (1A) team which reports into the Business. BRI's portfolio of work covers General Securities Regulations, G20 OTC Derivatives Reform, Global Codes of Conduct Principles, FMSB Standards, Cross Border activities, Regulatory Compliance Management (RCM), Regulatory Exams, Audits & Testing and Examination Enforcement remediation. As a Director on the BRI team, you will stay on the forefront of the ever-evolving global and complex regulatory landscape, providing a holistic view to maximize achievable scale and efficiencies for the Business. Key Responsibilities Undertake detailed business impact assessments, provide recommendations to diverse group of stakeholders and influence the final position to be taken by the firm Perform current state reviews over existing regulatory and supervisory BAU processes upon request and proactive benchmarking against industry best practices and enforcement patterns Contribute to the strategic direction of Global Markets, Business Management, Supervision; help drive efficiency across teams and processes Participate in advocacy efforts in matters of importance to GM Develop content for Business sponsored targeted training / guidance Draft procedures and advise on procedures for sales and trading; map against compliance policies and RCM criteria Identify controls / drafting control descriptions for laws, rules, regulations impacting sales and trading 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 an 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 and who can work in cross-organization situations Highly effective written and oral communication skills; excellent organizational skills Preferred Qualifications Candidate should have 15 + years compliance and regulatory experience along with a deep understanding of how a Global Markets Sales & Trading business operates. Background building out and delivering regulatory programs and experience with Laws, Rules, and Regulatory mapping and control alignment. Preference for candidate to have knowledge of SEC, CFTC, FINRA, NFA, MIFID, MAS, Future exchange rules and have an understanding of conduct and market abuse scenarios. Knowledge of regulatory landscape in the following jurisdictions, US, Canada, UK, Europe, Asia Pacific Understanding of financial products, trading and trade lifecycle for the following asset classes: FX, Rates, Equity, Commodities, Credit Strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions. Strategic, collaborative, tactical and creative in your approach Able to build relationships and influence with cross-functional / cross-jurisdictional partners at various levels of the organization. Comfortable working in often ambiguous environments and can takes initiative to build something impactful from the ground up. Seeks intellectual challenge, desire to learn and committed to design and build impactful and scalable solutions 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 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.
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