Director, Global Markets Supervision Communications Program

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 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:

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 Global Markets Supervision (GMS) is responsible for the planning direction and coordination of trading operations within TD Securities (TDS). This position is also responsible for overseeing the development of policies and procedures. This role will be focused on managing communication surveillance and retention programs for the firm. The Individual will be responsible for driving a cohesive strategy for communication channels and surveillance and retention of those communication channels across electronic voice mobile video conferencing and social media. This individual will be responsible for helping establish the tools the methodology the data controls and managing relationship with vendors in conjunction with technology. This role will support all three of TDS Wholesale Business lines globally but will report into the Head of Global Markets Supervision.

Key Responsibilities:

• Manage key relationships with business line and Compliance to establish Business Requirements for communication initiatives ensuring consistency and best practices across the approach.

• Manage channel ideation to onboarding with the Business and technology.

• Coordinate with enterprise and TDS technology stakeholders on workflow functionality scenario configuration and recalibration of surveillance parameters

• Develop plans to implement data controls and deliver those controls including Confirm employee population for journaling and surveillance

• Monitor status of ingestion retention and surveillance tools

• Manage regulatory and internal audit requests related to Communication Programs.

Depth & Scope:

• Oversees the development and execution of strategic planning for unit

• Oversees program and project level forecasting and tracking

• 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

• Knowledge of US Broker Dealer regulation related to communications surveillance and record retention in a large banking institution

• Knowledge of surveillance tools such as Behavox Smarsh Social Patrol etc.

• Experience working with regulators and auditors.

• Strong ability to work with Technology Compliance Legal or Risk partners to deliver program requirements and ongoing upkeep of standards.

• Able to understand detailed and technical issues can distill and summarize the problems and recommend solutions to senior management

• 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

• 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 6500 professionals operating out of 40 cities across the globe we strive to make every interaction product and experience remarkably human and refreshingly simple. 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.

Together we are reimagining what banking can be for our clients colleagues and communities.

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:
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.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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

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 . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.