Director - Regulatory & Supervisory Management, E-Trading Supervision, TD Securities

Location: New York

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* Manage key relationships with business line supervisors and serve as primary contact to advise or coordinate with key stakeholders on day to day supervision, regulatory or business conduct matters requiring escalation, working in close coordination with Compliance stakeholders
* Perform Delegated Supervisory Tasks on behalf of the businesses' heads and keep them up to date on pertinent supervisory matters within their business.
* Develop and maintain WSPs and Desk Operating Procedures for your related Business lines
* Driving projects improving and maintaining tools supporting the electronic trading control framework
* Assist in the onboarding of new automated trading activities
* Assist in risk assessment and market abuse risk assessments for approvals
* Assist in the investigation of e-trading related Operational Risk Events
* Work with you Supervisors on a day-to-day basis to analyze key metrics/trends and review market/business conduct escalations; follow up on any action items or take-aways
* Support the ongoing management and enhancement of comprehensive written supervisory procedures and desk operating procedures customized to e-trading/algo trading business activities
* Provide Global Markets Supervisors with interpretive guidance and best practices relating to key metrics and business conduct issues
* Liaison with other Divisions, such as Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions
* Contributing metrics to Conduct Risk Committees and Vice Chair/EMD supervision meetings
* Key stakeholders on Global Markets regulatory initiatives related to your businesses; participate in business initiatives to conduct supervision operational readiness assessments
* Participate in local committees, internal/external meetings or forums as needed
* Proactively seeks opportunities for continuous improvement and process enhancements to supervision framework and procedures; assist with relevant change management process
* Oversees the development and execution of strategic planning for unit
* Oversees program and project level forecasting and tracking
* Directs the communication of financial policies and procedures
* Manages monthly forecasting and client chargeback process
* Oversees the annual budget process
* Manages the headcount / resource process
* Leads and oversees the end-to-end delivery of requirements throughout the lifecycle of large scale/complex projects or programs requiring a cohesive approach to broad business solutions with full traceability to realize project benefits
* Provides advisory support, leadership direction and guidance to assigned Business Analyst resources, stakeholders an executives of the projects and/or program across multiple Lines of Business (LoB)
* Bachelors degree or progressive work experience in addition to experience below
* 7+ Years of related experience
* Strong project management skills
* Strong leadership, interpersonal and relationship-building skills are required
* Excellent analytical skills
* Excellent Microsoft Office skills in particular Excel
* Presentation skills required
*…