Associate, Supervision and Governance, Business Management, Corporate & Investment Banking

Work Location:

Hours:

Line of Business:

Pay Details:

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 candidates 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:

TD Securities Corporate and Investment Banking provides a full range of financial advisory and capital-raising services to corporate and institutional clients globally. Our Relationship Managers work closely with our clients to understand their needs and bring them unique solutions to complex issues. The department is organized into areas of expertise by product region and industry.

The Business Management Team within Corporate & Investment Banking is responsible for providing ongoing strategic and operational support as well as supervisory oversight to front-line Investment Bankers and Senior Executives within the department such that their focus can remain on providing optimal client coverage and execution. The team liaises with various TDS and TDBG support partners to advance the needs of the department as well as assist with rolling out any firm- or bank-wide initiatives.

Position Overview:

The Investment Banking group is a demanding environment and requires a self-starting efficient person who works extremely well in a team can manage multiple priorities at the same time and thrives in a fast-paced intense and exciting environment.

In this first line of defense (1A) role the Associate will work with leaders of the Business Supervision and Governance team to maintain a strong risk and control environment supported by an effective supervisory program for the Corporate and Investment Banking business. The successful candidate will have a hands-on role in executing programs in support of the overall risk and control environment acting as a business supervision center of excellence including the completion of delegated supervision The incumbent will act as a liaison between TDS support and control teams Senior Executives within the department and work closely with the Group Business Managers to oversee and execute business strategies plans and initiatives.

Key Accountabilities:

• As part of the Supervision Center of Excellence responsible for maintaining and overseeing the business lines regulatory supervision activities and delegated supervisory processes.
• Execution lead on control with Corporate and Investment Banking front line professionals to ensure the business has adequately considered managed and mitigated risks in day-to-day activities operations products and services and is operating within risk appetite.
• Manage effective partnerships with the groups that support Corporate and Investment Banking including 1B Compliance Legal Audit Risk and Technology as well as fostering strong working relationships with the Group Business Managers Industry Teams Product Teams and Regional Offices.
• Perform delegated business supervision and risk management activities as assigned.
• Complete electronic communications reviews to meet business and firm surveillance requirements.
• Perform Social Media monitoring to meet business and firm surveillance requirements.
• Perform content reviews for all marketing and pitch materials for the Corporate and Investment Bank.
• Participate in the design and implementation of controls within key processes and procedures
• Collect and consolidate metrics on varying frequencies and deploy reporting tools to produce dashboards for supervisory and oversight committees.
• Assist in the delivery of various trainings and conduct escalation processes.
• Provide support with audit and testing engagements from regulators and second and third-line stakeholders including providing remedial support for any findings.
• Support continuous improvement towards a strong and mature business governance and control environment.
• Maintain front-line procedures on a continual basis.
• Performs additional duties and participates in special projects as required
• Foster an effective transparent culture of risk awareness
• Work well in a team but also be able to prioritize and manage own workload to deliver quality results and meet assigned timelines
• Identify and recommend opportunities to enhance productivity effectiveness and operational efficiency

Specific Accreditations and Experience:

• FINRA Series 24 and Series79 registered or commitment to obtain within 6 months.
• Minimum 3-4 years experience in capital markets compliance audit risk control and governance or a related field
• Be familiar with the Canadian and US capital markets regulatory landscape
• Undergraduate Degree CPA MBA or other post-undergraduate education is preferred

Other Qualifications/Skills:

• Demonstrated ability to take a risk-based approach to decision making
• Act with Due Skill Care and Diligence
• Understanding of the banks three lines of defense model
• Ability to work and adapt in a fast-paced dynamic environment
• Experience with Excel PowerPoint Word Visio MS Teams
• Experience with Behavox
• Experience with JIRA and Confluence
• Strong analytical problem-solving and critical thinking skills
• Strong interpersonal and written/verbal communication skills.
• Ability to balance multiple simultaneous priorities in a fast moving and demanding environment.
• Self-starter with the aptitude to work independently and/or in a team setting
• Adept technical skills and/or the ability to quickly navigate new systems
• An ability to communicate simply directly succinctly
• Takes ownership and accountability for the quality of their work
• Has strong attention to detail
• Enjoys working in a collaborative team environment

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 6500 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 a base salary variable compensation 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 programs. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.

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

Interview Process
Well 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
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):