Senior Analyst, Capital Markets Trading Venue Governance

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Hours:

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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:

Department Overview

The TDS Governance and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered managed and mitigated risks in day-to-day activities operations products and services and are operating within risk appetite in compliance with regulatory requirements Bank policies and risk appetite.

Members of TDS Governance & Control require sufficient expertise to review and assess whether the Business is adhering to internal (risk management oversight function and audit) and regulatory requirements requests and expectations.

Job Description

The Senior Analyst supports Trading Venue Governance across TD Securities Global Markets business ensuring TDS manages and mitigates risk for Front Office desks who use venues and executing platforms for their trading activities.

The position has some direct interaction with stakeholders across various functions including the Business Risk Trade Surveillance Compliance and Technology. This position will require an individual who can collaborate and engage effectively in delivering and enhancing the governance program procedures monitoring processes controls policies and developing and communicating a project plan/tracker and associated updates to a variety of stakeholders.

Job Accountabilities

The general accountabilities of this role include but are not limited to the following:

• Provides business governance and control related support to team management within Trading Venue Management program.

• Support working groups facilitate meetings ensure alignment to program goals identify and mitigate risks as they arise.

• Assists in the implementation of governance enhancements.

• Ensures artifacts are preserved in accordance with program governance standards.

• Performs a set of governance and control work activities requiring coordination across multiple areas.

• Reviews processes and controls and connects the dots across issues and control deficiencies in order to increase standardization of processes and controls.

• Build and maintain constructive relationships with 1st and 2nd line partners as well as other key stakeholders to ensure Program governance delivery requirements are understood and met.

• Partner with stakeholders to ensure risks are adequately identified assessed and to support the development of risk mitigation strategies across the Program.

• Support a coordinated approach with other business areas the broader organization and enterprise control functions.

• Effectively manage ad-hoc governance risk management and control projects or tasks of varying complexities within established deadlines.

• Respond to all requests in a timely manner.

• Establish an environment that promotes respect diversity and inclusion for each individual employee and adhere to the policies and guidelines of the Bank including the TD Framework and Our Shared Objectives.

• Foster an environment and culture that encourages productivity innovation process improvement teamwork and a high level of professionalism.

.Job Requirements

• Understanding of global markets (capital markets) business in general including product knowledge.

• Strong compliance and/or risk management assessment background.

• Basic level of understanding of the trading lifecycle and how different components come into the picture such as OMS (Order Management System) Order Routers Algos Trading Venues etc.

• Skillful communicator and influencer to build relationships advance decision making and effect change over time.

• Initiative-taking individual with a record of successfully assisting with implementing program enhancements.

• Ability to work with a pool of experts and ensures elevated levels of service even when the effort crosses organizational boundaries.

• Thrives in a challenging environment managing multiple deadlines and priorities.

• Strategic thinking with solid problem solving and decision-making skills.

• Skilled at connecting the dots across issues in support of solutions and development ofstrategies to effectively manage and mitigate risk.

• Excellent interpersonal skills to effectively interact at all levels of the organization coupledwith a passion to build strong working relationships and contribute to a strong team environment.

• Strong organizational/time management skills.

• Flexibility to quickly adapt to changing requirements and execute on non-routine ad-hoc deliverables.

• A positive can do attitude with a curiosity and willingness to learn and grow as well as share knowledge and experience.

• Proficiency in Microsoft applications (Excel Word PowerPoint) and Share Point.

Additional Information

• Undergraduate degree or 3-5 years of relevant work experience work experience.

• Graduate degree would be an asset.

• Courses such as following would be an asset: Derivatives Fundamentals and Options Licensing Course (DFOL) Futures Licensing Course (FLC) and Advanced Derivatives Market Strategies Course (ADMS).

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 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):