Analyst - Regulatory and Supervisory Management (12 - Toronto, Canada - TD Bank

TD Bank

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Analyst - Regulatory and Supervisory Management (12 Months Contract):

BR

Job Category - Primary

Securities / Wholesale Banking

Work Location

TD Centre
East 222 Bay Street

Employment Type

Regular

City

Toronto

Time Type

Full Time

Province/State

Ontario

Hours

37.5

Workplace Model

Onsite

Pay Details

Department Overview

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 industryleading 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 highlydiverse equity research franchise, while growing our strong, diversified investment bank.
We are growthoriented, peoplefocused, and communityminded. As a team, we work to deliver value for our clients every day.
Regulatory Supervisory Management proactively supports TD Securities' Sales and Trading businesses to achieve sustainable strategies, supervision, operating practices and governance aligned with regulatory requirements and Bank policies and appetite.
This group is responsible for performing the supervision of trading by conducting reviews, documenting findings, and escalating exceptions in accordance with TD Securities policies and procedures.

Job Details

The Analyst will support the overall Strategic Surveillance Project initiative, assisting with system testing, configuration, and integration phases. In addition, the individual will conduct Communications Surveillance reviews to ensure adherence to established policies, procedures, governance standards, risk appetite and/or regulatory requirements. Reviews performed are undertaken on behalf of the TD Securities Front Office Supervisors and the Analyst will work closely with the Front Office, RSM partners, other support groups including TDS' Compliance groups.

Key accountabilities include:

Participate in testing, analysis and configuration, pilot monitoring processes and project reporting for TDS's ecommunications monitoring systems under the Strategic Surveillance Project.
May act in a backup capacity for Strategic Surveillance Project to represent interests of Global Markets/RSM.
Responsible for the review of electronic and voice communications for front office personnel globally in accordance with regulatory and internal policies in connection with the Strategic Surveillance pilot projects and implementation.
Identify, investigate, and escalate findings from conducting relevant Global Market Supervision reviews to the relevant Supervisor and/or to Compliance as required;
Knowledge & understanding of the function and/or business supported through the above noted policies and procedures;

Job Requirements

Ability to work in a large team environment, collaborate and interact with all levels within the organization including Sales and Trading personnel, Front Office Management, Compliance, Internal Audit, Operations and Risk.
Ability to manage and work under tight deadlines, multitask and adapt well to changing priorities.
Strong organizational skills and highly detailed oriented.
Excellent analytical, verbal and communication skills.
Postsecondary degree with Canadian Securities Course preferred.
Working knowledge of Equities, Derivatives, and Fixed Income rules and procedures from both a front and backoffice perspective preferred and an asset.
Proficient with MS Office Suite, including competency in Excel with ability to create pivot tables.
Some Macro/VBA would be an asset

Additional Information
- this role.

Company Overview

Our Values

At TD we're guided by our purpose is to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior.

In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care.

No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Making Your Well-being a Priority
A supportive culture that promotes colleague well-being is core to who we are.

At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars — physical, financial, social and mental/emotional.

In addition, we champion a safe and inclusive work environment so colleagues feel a s