Td Bank Analyst - Supervision Governance Business Management United States, New York, New York 909855330
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.
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.
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:
- FINRA Series 24 and Series79 registered, or commitment to obtain within 6 months
- 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
Qualifications/Skills:
- Demonstrated ability to take a risk-based approach to decision making
- Act with Due Skill, Care and Diligence
- Understanding of the bank's 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
Depth & Scope:
- Promotes a culture of compliance, good governance, and respect for the bank’s risk appetite
- Become an expert on internal communication surveillance tools; participate in testing and troubleshooting
- Develops strong working relationships with the industry and product teams and other regional offices
- Work well in a team but also be able to prioritize and manage your own workload to deliver high quality results and meet assigned, and often tight, deadlines
- Strives to continuously improve productivity, effectiveness, and efficiency of our team and the businesses we support
- Performs additional duties and special projects as required
- Demonstrates knowledge of the US market and CIB's strategy in it
- Supports employee development
Education & Experience:
- 4 Year Degree or equivalent
- 2+ years experience in compliance, audit, risk, operations, investment banking, or a related field within financial services
- Credit and Financial statement analysis experience
- Highly motivated and committed to providing superior service
- Strong communication skills, interpersonal skills and the ability to work independently and as part of a team are essential
- Requires superior analytical skills and the ability to exercise sound judgment to make decisions
- Proven accuracy, well organized and able to multi-task to meet SLAs
- Expert knowledge of practices and procedures as related to Payment Card Network rules and regulations
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.
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. 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 we’re committed to helping you identify opportunities that support your goals.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
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