Vice President Regulatory Exam Management Td Securities jobs at Td Bank in United States, New York

Job Description:

Merrill is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

This job is responsible for providing client service support to potentially multiple Financial Advisors (FAs). Key responsibilities include supporting enterprise strategic objectives, operational excellence goals, and client advocacy within the FA's business, while customizing solutions based on their specific needs. Job expectations include serving as the most frequent point of contact within Merrill to address all service needs of their clients.

Responsibilities:

• Provides excellent Client Service to the bank's clients through educating them on all of the bank's service and banking offerings
• Ensures timeliness, accuracy, and completeness in client materials and follows up on all client and Financial Advisor (FA) requests
• Assists with ensuring practices are in alignment with the bank's policies and procedures to support operational excellence, protect the bank's clients, and manage risk
• Identifies, deepens, and maintains client relationships through emphasizing the bank's offerings and promoting incorporation of banking into day-to-day practices, while communicating outputs to the FA
• Supports day-to-day team activities and needs including covering roles in times of absence or seasonal need increases, while leading with a client first mindset

Required Qualifications:

• FINRA Securities Industry Essentials (SIE), Series 7 & 66 (or combination of BOTH 63 & 65)

• Displays advanced industry knowledge and understanding of investment products

Desired Qualifications:

• Previous wealth management client associate experience strongly preferred

• Energetic individual that is self-motivated, coachable and flexible in thought

• Enjoys a fast-paced environment with changing and evolving responsibilities

• Detail oriented

• Invested in personal development

• Consistently pursues client experience excellence

• Works quickly to fulfill client needs, delivering complex solutions

• Frequent communication and an abundance of discretion with sensitive information

• Microsoft Word, Excel and PowerPoint experience with Salesforce a plus

• Professional verbal and written communication​​

Skills:

• Account Management
• Client Management
• Customer and Client Focus
• Issue Management
• Oral Communications
• Business Development
• Client Solutions Advisory
• Pipeline Management
• Prioritization
• Administrative Services
• Emotional Intelligence
• Referral Identification
• Written Communications

• Performs onboarding and maintenance of accounts and reviewing required account documentation.
• Responds to moderately complex client inquiries via numerous channels to support operational efficiency and quality client service
• Reviews and approves required account documentation
• Proactively identifies risk and opportunities for process improvement based on an understanding the work impacts other operational units
• Performs moderate levels of research, follow-up and resolution of more complex routine research requests

• Account Management
• Customer and Client Focus
• Oral Communications
• Research
• Analytical Thinking
• Attention to Detail
• Collaboration
• Problem Solving
• Prioritization
• Recording/Organizing Information
• Result Orientation

• Performs an accuracy, completeness and risk assessment of documentation or client account information, identifies and resolves any discrepancies or gaps, then approves/declines the request for account opening or maintenance according to the established written guidelines and procedures.
• Researches and resolves incomplete submissions by utilizing procedures and established guidelines and engaging support partners when needed.
• Responds to internal business partner inquiries related to requests via phone and email and escalates more challenging issues to leadership as needed.
• Understands the process flow from end to end including the reasons for each step, the process controls, the risks within the process and the upstream/downstream impacts of their work based on an understanding the work impacts other operational units.

Job Description:

This job is responsible for providing client service support to potentially multiple Financial Advisors (FAs). Key responsibilities include supporting enterprise strategic objectives, operational excellence goals, and client advocacy within the FA's business, while customizing solutions based on their specific needs. Job expectations include serving as the most frequent point of contact within Merrill to address all service needs of their clients.

Responsibilities:

• Provides excellent Client Service to the bank's clients through educating them on all of the bank's service and banking offerings
• Ensures timeliness, accuracy, and completeness in client materials and follows up on all client and Financial Advisor (FA) requests
• Assists with ensuring practices are in alignment with the bank's policies and procedures to support operational excellence, protect the bank's clients, and manage risk
• Identifies, deepens, and maintains client relationships through emphasizing the bank's offerings and promoting incorporation of banking into day-to-day practices, while communicating outputs to the FA
• Supports day-to-day team activities and needs including covering roles in times of absence or seasonal need increases, while leading with a client first mindset

Skills:

• Account Management
• Client Management
• Customer and Client Focus
• Issue Management
• Oral Communications
• Business Development
• Client Solutions Advisory
• Pipeline Management
• Prioritization
• Administrative Services
• Emotional Intelligence
• Referral Identification
• Written Communications

High School Diploma / GED / Secondary School or equivalent

Responsibilities :

• Support the origination and execution of investment banking transaction mandates for large-cap corporate clients in the Consumer and Retail Sector, including buy and sell-side M&A, inclusive of cross-border transactions, as well as capital markets processes, including debt and equity offerings.
• Prepare materials for clients and participate in client meetings during the course of investment banking deal origination and execution.
• Lead due diligence processes for investment banking transactions in the Consumer and Retail Sector, such as buy and sellside M&A, inclusive of cross-border transactions, as well as capital markets processes, including debt and equity offerings.
• Prepare financial analysis, including detailed valuation analysis, such as LBO analysis, discounted cash flow, accretion and dilution, IPO proforma analysis, comparative company analysis, and sum of parts analysis in the Consumer and Retail Sector, including buy and sell-side M&A, inclusive of cross-border transactions, as well as capital markets processes, including debt and equity offerings.
• Oversee analysts and associates on client coverage, origination, and transaction execution teams.
• Draft and negotiate engagement letters, confidentiality agreements, and other documents related to investment banking transactions.
• Attend and oversee client meetings with prospective buyers in sell-side M&A processes, including management presentations and due diligence.
• Support internal transaction and capital commitment committee processes such as Fairness Committee, Equity Commitment Committee, and Leveraged Finance Committee.
• Global bank/bulge bracket investment banking transactions.
• Execute investment banking transactions and processes in a global firm environment, including both M&A and capital markets products.
• Prepare financial analysis, including detailed valuation analysis, such as LBO analysis, discounted cash flow, accretion and dilution, IPO proforma analysis, comparative company analysis, and sum of parts analysis.
• Conduct due diligence in connection with investment banking transactions.
• Prepare materials for clients and participate in client meetings during the course of investment banking deal origination and execution.
• Lead teams of junior investment bankers to execute transactions, prepare client materials, and manage transaction processes.
• Remote work may be permitted within a commutable distance from the worksite.

Required Skills & Experience:

• Master's degree or equivalent in Business Administration, Finance, Economics, Accounting, or related: and
• 3 years of experience in the job offered or a related Finance occupation.
• Must include 3 years of experience in each of the following:
• Global bank/bulge bracket investment banking transactions;
• Executing investment banking transactions and processes in a global firm environment, including both M&A and capital markets products;
• Preparing financial analysis, including detailed valuation analysis, such as: LBO analysis, discounted cash flow, accretion and dilution, IPO proforma analysis, comparative company analysis, and sum of parts analysis;
• Conducting due diligence in connection with investment banking transactions;
• Preparing materials for clients and participating in client meetings during the course of investment banking deal origination and execution; and,
• Leading teams of junior investment bankers to execute transactions, prepare client materials, and manage transaction processes.
• In the alternate, the employer will accept Bachelor’s degree and 5 years of progressively responsible experience.
• 10% domestic travel required, as necessary

If interested apply online ator email your resume toand reference the job title of the role and requisition number.

EMPLOYER:BofA Securities, Inc.

This job is responsible for standard activities supporting the creation, onboarding and maintenance of accounts, according to the established guidelines and procedures. Key responsibilities include providing quality service and effective, efficient operations support for internal business partners and external clients. Job expectations include operating with a standard level of independence, and referring to their team lead or manager for direction and support with more complex issues and escalations.

Responsibilities:

• Performs onboarding and maintenance of accounts and reviewing required account documentation.
• Responds to client inquiries via numerous channels to support operational efficiency and quality client service
• Performs basic research, follow-up and resolution of routine research requests
• Identifies potential issues in daily operational tasks and escalates risk concerns, as appropriate
• Provides general operational support including handling inbound calls, mail sorting, and mail distribution
• Reviews and approves required account documentation

Skills:

• Account Management
• Customer and Client Focus
• Oral Communications
• Research
• Attention to Detail
• Collaboration
• Written Communications
• Prioritization
• Recording/Organizing Information
• Result Orientation

LOB Job Description:

Wealth Management Operations (WMO) provides end-to-end operational support that drives the client experience for Wealth Management advisory partners and their clients.

Within WMO, the Onboarding & Maintenance Support teams execute manual processes and monitor automated processes to gather and maintain required information that identifies client accounts and features such as legal name(s), address, product type, beneficiaries, etc. to accurately open, modify or close accounts.

Upon the receipt of new account and/or maintenance request from the Merrill Branch Office, the Support Onboarding, Maintenance, and Associated Data – Brokerage team ensures all documentation, regulatory requirements, and required client correspondence have been met for the account to be opened and/or updated. Requests may be returned for additional or incorrect information and a secondary review is completed on higher risk requests. The account management is complete once the request is decisioned.

Required Skills:

Desired Skills:

• Oral Communications
• Written Communications
• Customer and Client Focus
• Attention to Detail
• Results Driven
• Numerical Reasoning"​

Job Description:

The Senior Treasury Sales Officer (TSO) is responsible for managing all aspects of the treasury management relationship for a large ($100M+), complex portfolio of current and prospective global clients in the North America Investments and Securities team. He or she will partner with Corporate Bankers, Product, Compliance, Credit, Risk and Service partners to present optimal global solutions to meet client objectives.

Responsibilities:

• Focus on growth of new client relationships and expansion of existing relationships by identifying and cross selling our global payment solutions

• Accountable and responsible for revenue and balance growth, profitability optimization, client planning, client calling, portfolio development, pricing strategy, and proposal development and delivery for a dedicated client portfolio

• Maintain a strong client focus, industry expertise, client subsector expertise and a broad understanding of bank structures

• Lead, coach, develop Treasury Sales Analysts and Associates in day to day support of client deliverables

• Be a digital ambassador driving mobile, digital and real time payments adoption

• Manage and lead strategic dialogues around key client centric issues, leveraging best practices, peer benchmarking and industry data analytics

• Maintain regular client interactions with on-site or virtual meetings, industry conferences, roundtables and client events

Job Qualifications:

• Minimum 8 to 10 years of relevant experience in banking, treasury, and/or finance

• Successful history of direct and comprehensive treasury management sales experience

• Demonstrates the ability to identify, evaluate and articulate payment flows and potential associated risks for a complex/high risk client segment

• Demonstrates the ability to foster strong partnerships within the core team and the ability to build a sincere rapport with client contacts

• Effectively manages competing priorities in an organized fashion while maintaining a consistent level of client satisfaction

• Effectively manages risk while balancing the needs of the client, the team, and the bank

• Able to effectively work as an individual contributor as well as a close team member in a fast paced environment

• Broad and deep familiarity with global treasury management products, services and trends

• Strong Executive presence both internally/externally with ability to lead C- suite meetings

• Ability to travel approximately 50% of the time

• B.S/B.A Degree or equivalent work experience

Skills:

• Account Management

• Business Development

• Client Management

• Client Solutions Advisory

• Customer and Client Focus

• Critical Thinking

• Portfolio Analysis

• Presentation Skills

• Relationship Building

• Sales Strategy

• Coaching

• Collaboration

• Oral Communications

• Prioritization

Job Description:

Job Description:
This job is responsible for overseeing a unit or section of a segment for a site, region, or product line within the bank's internal operations. Key responsibilities include identifying, analyzing, and resolving complex problems, ensuring compliance with policies, and identifying opportunities to improve process performance and operating efficiency. Job expectations include knowledge of operations support management and expertise in functional area(s) gained through increasingly more responsible management positions in operations.

This job is responsible for driving and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include to transform an accurate data foundation that captures key metrics for report preparation process into a source of actionable information. Regularly review that information within a structured framework to facilitate decisions and actions that will improve overall report preparations through the globe.The successful individual will:
• Develop comprehensive monitoring strategy requirements across Global report preparing functions and ensure standardization across regions
• Design a robust and effective activity tracking model, that provides real time updates on reporting obligations managed by GM NFRR team globally across multiple regions - AMRS, EMEA, and APAC.
• Design effective routines to ensure report production responsibilities are understood, tracked and documented, whilst holding key stakeholders accountable
• Roadmap against strategy to ensure processes to acquire information for providing comprehensive and accurate monitoring, are dynamic and flexible to ensure new and changing obligations are captured.
• Design informative MI and key control reporting
• Responsible for executing global periodic (e.g. daily, monthly) reporting routines ensuring the Global team is adherent to multiple Enterprise policies e.g., Regulatory Reporting and Enterprise Data Management Standards
• Effective running of forums with large Global stakeholder groups, for the identification, tracking, and remediation of data issues and control enhancements that impact the respective reports
• Establish credible, collaborative, and influential relationships with key regional stakeholders across Operations, Technology, FLU and Compliance
• Drive execution improvements to ensure consistent operational live monitoring practices are in place and adhered to including high quality deliverables and role clarity with partners.
• Communicate with a broad audience of business partners in a variety of formats and in a way that ensures all audience members understand and can adhere to the strategy.

Responsibilities:

• Develops and implements procedures to enhance productivity and efficiency and manage business change
• Serves as an escalation point to resolve broad and complex operational issues
• Responsible for expense management, reporting and forecasting for operations areas managed as well as compensation decisioning, talent planning, and performance management at a senior level
• Manages a large team or multiple smaller teams across one or more sites, regions or product lines in an operations support function
• Supports functions carrying a substantial risk of exposure and potential loss with significant impact on major corporate customer relationships

• 10+ years of Banking experience; Professional qualifications preferred.
• Global Markets Operations/Technology Project Management experience preferred.
• Ability to manage multiple stakeholders and prioritization efforts
• Expert ability to provide clear oral and written communication to a variety of business and technical audiences.
• Expert ability to improve the capabilities of production monitoring processes and
corporately through skill development, process enhancement
• Be able to identify changes that have an impact across multiple process and stakeholders
• Identify efficiency gains in regulatory reporting processing
• Hands on approach and process excellence mind set
• Ability to influence and drive progress across key business partners
• Ability to prioritize work and adapt to changing needs in a dynamic work environment
• Self-starter, takes initiative
• Driver of changeDesired Skills:

• Bachelor’s degree in related field
• Data Science skills
• SQL, Tableau, Micro Strategy experience will be a plus
• Experience with regulatory programs
• Experience with global stakeholder management

Skills:

• Business Operations Management
• Drives Engagement
• Process Management
• Process Performance Measurement
• Result Orientation
• Customer and Client Focus
• Planning
• Reporting
• Risk Management
• Talent Development
• Adaptability
• Data Management
• Fraud Management
• Interpret Relevant Laws, Rules, and Regulations
• Workforce Analytics