Associate - Supervision and Governance, Business Management, Corporate & Investment Banking, TD Securities Join to apply for the Associate - Supervision and Governance, Business Management, Corporate & Investment Banking, TD Securities role at TD Securities . Work Location : New York, New York, United States of America Hours : 40 Pay Detail : $100,000 - $120,000 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. 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. 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. Position Overview : The Associate will work with leaders of the Business Supervision and Governance team to maintain a strong risk and control environment. The successful candidate will have a hands-on role in executing programs in support of the overall risk and control environment. Key Accountabilities Maintain and oversee the business lines regulatory supervision activities. Execution lead on control with Corporate and Investment Banking front line professionals. Manage effective partnerships with supporting groups. Perform delegated business supervision and risk management activities. Complete electronic communications reviews to meet business and firm surveillance requirements. Perform content reviews for all marketing and pitch materials. Participate in the design and implementation of controls within key processes. Collect and consolidate metrics and deploy reporting tools for supervisory committees. Assist in the delivery of various trainings. Provide support with audit and testing engagements. Support continuous improvement towards a strong business governance and control environment. Maintain front-line procedures on a continual basis. Perform additional duties and participate in special projects. Foster a culture of risk awareness. Work well in a team and manage own workload to deliver quality results. Identify and recommend opportunities to enhance productivity and operational efficiency. Specific Accreditations And Experience FINRA Series 24 and Series 79 registered, or commitment to obtain within 6 months. Experience in capital markets, compliance, audit, risk, control and governance. Familiarity 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. Understanding of the bank's three lines of defense model. Ability to work and adapt in a fast-paced environment. Strong analytical, problem-solving and critical thinking skills. Self-starter with the aptitude to work independently and/or in a team setting. Strong attention to detail. Education & Experience Bachelor's Degree required. 3+ years experience in compliance, audit, risk, operations, investment banking, or a related field. Who We Are : TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients. Our Total Rewards Package : Our Total Rewards package reflects the investments we make in our colleagues. Additional Information : We’re delighted that you’re considering building a career with TD. #J-18808-Ljbffr TD Securities Limited
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