Overview
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.
The APAC Business, Regulatory and Supervisory (BRSM) team is a key partner and Front Office representative for Global Markets in Singapore, Japan and Hong Kong. We are responsible for supporting the Regional CEO, COO and Desk Heads in delivering the Business and Regional strategy and a local function for the RSM team to support the Regional CEO and Desk Heads in executing their Front Office Supervisory responsibilities and providing input to the overall framework.
Position Summary
· Prioritize and lead all Global Markets strategic initiatives from a regional perspective, working closely with the appropriate Global Business Managers and other key stakeholders to drive initiatives from idea to implementation, ensuring the appropriate regional considerations and governance requirements are satisfied
· Responsible for ensuring smooth day-to-day business operations regionally
· Provide business insight and input as required for presentations to senior management, Board, and other internal and external stakeholders
· Stay informed on industry best practices and trends, incorporating an external market perspective and being mindful of developments that support a competitive business strategy
· Oversee review and challenge of any Front Office related operational risk issues in the region; partner with Governance and Control function for remediation if necessary
· Ensure ongoing compliance with regulatory requirements impacting each business in partnership with regional Legal, Compliance, GAML teams
· Support the Regional CEO, Regional Heads and Desk Heads in the discharge of their Front Office Supervisory responsibilities and provide input in the overall framework
· Work with partners in support and control functions to assess the regulatory impact to business programs
Qualifications
· Must have at least 5 years of experience in Capital Markets, with at least 2 years of experience having direct interaction with Front Office businesses
· Strong subject matter expertise in capital markets and related trading systems and infrastructure processes
· Strong knowledge and experience working with Head Office / Corporate governance and support teams in Toronto, London and New York is a significant advantage
· Excellent written and verbal communication skills, and interpersonal skills – ability to build relationships at all levels
· Strong conceptual, analytical, problem-solving and organizational skills; have an eye for detail; initiative to follow up on items for timely resolution; and effective use of judgement to determine options on approaches
· Able to understand detailed and technical issues, can distill and summarize the problems, and recommend solutions to senior management
· A self-starter who can think critically and make decisions independently, while also able to collaborate with business, infrastructure support and control contacts to achieve strategic and tactical objectives
· Enjoys working in a fast-paced, dynamic and high-pressure environment, able to manage competing and ever-changing priorities, adapts well to changing priorities
· Must be able to manage effectively in an environment of ambiguity
· Must be able to operate independently with minimal direction
· Must be able to manage deadlines, multiple tasks and adapt well to changing priorities
· Must be proficient in MS Office (Word, Excel, and PowerPoint)
