TD Securities (USA) LLC

Compensation

Full Description

Work Location: New York, New York, United States of America Hours: 40 Line of Business: TD Securities Pay Detail: $250,000 - $250,000 USD 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, 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 6,500 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 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. 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: 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. If you’re 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. We're 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 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. US Labor & Employment Posters | California Privacy | Accessibility | FAQ Our Values At TD we’re guided by our purpose 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. Our Commitment to Diversity, Equity, and Inclusion At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. Helping to Make an Impact in Communities – TD Ready Commitment TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific