Work Location:

Hours:

Line of Business:

Pay Detail:

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. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

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 your related Business lines

Driving 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 you Supervisors on a day-to-day basis to analyze key metrics/trends and review market/business conduct escalations; follow up on any 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 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:

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:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

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. 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. 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 (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more
 

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

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 at USWAPTDO@td.com.  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.