Short Term Assignment - VP, Regulatory and Supervisory Management, TD Securities

Short Term Assignment - 12 Month Duration

Regulatory and Supervisory Management (RSM) drives a strong culture of supervision and supervisory engagement, considering industry best practice and regulatory change. The Global Markets Supervision (GMS) team partners with TD Securities' Global Markets Supervisors to meet their accountabilities for the oversight of employee conduct and of market, credit, underwriting, and operational risks. Specifically, GMS facilitates a sustainable First Line Supervision framework that supports effective supervision practices and escalates key issues arising from Global Markets trading, sales and origination business activities; and executes delegated supervision accountabilities on behalf of Business Line supervisors in accordance with Firm policy and regulatory requirements.

TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions (e.g., TD Cowen), and continues to expand its product offering and client franchise across all asset classes. The successful candidate will develop an in-depth knowledge of Global Markets Supervision framework and associated policies and (review) procedures. The candidate will collaborate closely with Business Supervisors, trading, sales and origination teams, as well as Second Line of Defense and infrastructure support teams to help manage key risks and confirm that our (Electronic Trading) and automated controls framework is operating effectively and is also fit for purpose. The role reports to the Director, Global Markets Supervision (Electronic Trading), and will provide primary coverage over US E-Trading for both cash and derivatives products, across various asset classes, while mainly focusing on Equities and Options.

The VP Trading Business Management TDS is responsible to provide the leadership team with information, reporting and support to ensure Trading operational risks are appropriately managed and adherence to internal policies / procedures and applicable regulatory guidelines is effective. This position also works with management / control function partners (e.g. Risk, Legal, Compliance, AML and Audit) to assess risks, develop and implement proactive strategies, tactics and programs to effectively manage regulatory and governance issues for the Trader environment.

Depth & Scope :

• Leads and manages the Trader business management functional area and overall operation of a diverse group in an area of moderate risk, complexity or scope
• Ensures an integrated approach with other business management areas, broader organization, and enterprise as appropriate
• Deep knowledge and understanding of businesses / technology, and organizational practices / disciplines
• Focuses on short to medium-term issues (e.g. 6-12 months)
• Generally reports to a Senior Manager or above

Core Accountabilities :

Scope of Supervision accountabilities cover multiple US business lines within our GM US Equities franchise including ADR, US Equities Cash and Options, US Sales, Cross Asset Trading, Institutional Equity Research Sales, as well as our Prime Services offering. As such demonstrable working knowledge with the above-mentioned business and product lines will be highly desirable. Additional core responsibilities include, but are not limited to :

Education & Experience :

Preferred Qualifications :

Physical