TD Bank Group
Headquartered in Toronto, Canada, with more than 90,000 employees in offices around the world, The Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group ("TD"). TD offers a full range of financial products and services to more than 26.5 million customers worldwide through three key business lines:
- Canadian Retail including TD Canada Trust, Business Banking, TD Auto Finance, TD Wealth, TD Direct Investing, and TD Insurance
- U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance, TD Wealth, and TD’s investment in Schwab
- Wholesale Banking through TD Securities
TD had C$1.7 trillion in assets as at July 31, 2021. TD also ranks among the world’s leading online financial services firms, with approximately 15 million active online and mobile customers. The Toronto-Dominion Bank trades on the Toronto and New York stock exchanges under the symbol "TD".
In Singapore, TD operates as The Toronto-Dominion Bank, Singapore Branch and Toronto Dominion (South East Asia) Limited, which are collectively known as “TD Singapore” since 1979.The key business in Singapore is TD Securities which is part of Wholesale Banking.
The successful candidate will be responsible for performing a broad range of activities, including managing the supervision process, identification of control issues and preparation of metrics reporting for the AP Conduct Risk Committee. The candidate will also provide support on a few large-scale business compliance programs (e.g., Best Ex, DF, Volcker) to ensure TD Securities is compliant with its regulatory commitments. Additionally the candidate will contribute to the design, implementation and improvement of controls and documentation to enhance the BAU supervision processes.
- Manage supervision process for all the Global Markets Business Singapore, HK, and Japan, including production of the AP Regional supervision pack, analysis of trends and investigation of exceptions with Second Line partners in line with the Global Supervision Process
- Collaborate with TBM, FO Supervisors and Second Line stakeholders to review exceptions in supervision packs and enhance BAU controls where required.
- Responsible for Conduct Risk metrics reporting and preparation of materials for monthly Conduct Risk Committee.
- Manage Best Execution monitoring process, including review of exceptions reporting, management of weekly workflow and preparation of periodic dashboard of key trends and findings. Work with TBM and FO Supervisors to further develop and enhance process.
- Provide periodic updates on supervision / control metrics to regional governance forums.
- Embed and facilitate regulatory compliance within the Front Office by providing ad-hoc support to TBM on regulatory deliverables
- Prepare and maintain GSPs, DOPs, and other business/TBM policies, procedures
- Assist with Regulatory change impact assessment
- Assist with business and TBM projects
- Must have experience in Capital Markets.
- Ability to learn and adapt quickly.
- Experience of working with large volume of data and strong analytical skills.
- Ability to draw conclusions and identify risks from large dataset.
- Excellent organizational skills, with the ability to work in fast paced environment and manage deadlines.
- Attention to details and high personal standards for accuracy.
- Strong written and verbal communication skills; Comfortable communicating with all levels within the organization.
- Strong problem solving skills and ability to proactively identify risks / issues and recommend solutions.
- Understanding of regulatory environment and front office supervisory framework.
- Must be proficient in MS Word, Excel, and PowerPoint and new data analytics and process automation tools.
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve and creating an environment where every employee has the opportunity to reach their potential.