Analyst – Supervision and Governance – Business Management – Corporate & Investment Banking – TD Securities

Analyst – Supervision and Governance – Business Management – Corporate & Investment Banking – TD Securities

Requirements

• 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
• Familiarity with the Canadian and US capital markets regulatory landscape
• Demonstrated ability to take a risk-based approach to decision making
• 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

Responsibilities

• 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

Preferred Qualifications

• 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