Experience Inc. Jobs

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$120,000 - $135,000 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:

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.

The Business Management Team within Corporate & Investment Banking is responsible for providing ongoing strategic and operational support, as well as supervisory oversight, to front-line Investment Bankers and Senior Executives within the department, such that their focus can remain on providing optimal client coverage and execution. The team liaises with various TDS and TDBG support partners to advance the needs of the department as well as assist with rolling out any firm- or bank-wide initiatives.

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.

In this first line of defense (1A) role, the Associate will work with leaders of the Business Supervision and Governance team to maintain a strong risk and control environment, supported by an effective supervisory program for the Corporate and Investment Banking business. The successful candidate will have a hands-on role in executing programs in support of the overall risk and control environment, acting as a business supervision center of excellence, including the completion of delegated supervision, The incumbent will act as a liaison between TDS support and control teams Senior Executives within the department and work closely with the Group Business Managers to oversee and execute business strategies, plans, and initiatives.

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 and Experience:

• 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

• Undergraduate Degree, CPA, MBA or other post-undergraduate education is preferred

Other 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

TD Securities Corporate and Investment Banking (CIB) provides a full range of financial advisory and capital-raising services to corporate and institutional clients. Our relationship managers work closely with clients to understand their needs and bring them unique solutions to complex issues. The department is organized into areas of expertise by industry, product, and region.

The Business Management team within CIB provides ongoing operational and strategic support, as well as supervisory oversight, to relationship managers and senior executives so they may focus on providing optimal client coverage. The team works extensively with numerous TDS and TDBG support functions to advance the needs of CIB and assists with the rollout of numerous firm and bank-wide initiatives.

Depth & Scope:

• Interacts with various levels of Business Management dependent on the task

• Facilitates the surveillance of business activities to be in line with regulatory rules and industry standard practices

• Performs supervisory reviews as described by the firm, Written Supervisory Procedures

• Documents Regulatory Reviews and the escalations of issues

• Works with Legal and Compliance Departments to implement various required supervisory reviews and/or update existing reviews

• Facilitates Business Management’s control, governance and adherence to all policies, procedures and regulations

• Reviews emails for assigned businesses

• Assists in desk-based surveillance

• Assists in exception reporting reviews and reporting reviews for assigned businesses

• Monitors day-to-day front office electronic communications (including corporate e-mail, instant messages, Firm blackberry, Bloomberg messages and Instant messaging, external messaging communications via AOL, Reuters Mindalign and emailed attachments)

• Reports all questionable emails including but not limited to customer complaints, unapproved outside business activities, indications of use of unauthorized domains, unapproved sales literature or correspondence

Education & Experience:

• Bachelor's Degree required

• 3+ 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

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 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 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. 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 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 (http://hrportal.ehr.com/tdtotalrewards)

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. 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.

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

If you are an applicant with a disability and need accommodations to complete the application process, email the 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 application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.