Senior Manager, Regulatory Reporting

TD Securities; Toronto; On-site; CAD 108,000 - 164,000; Full time

Job summary

TD Securities seeks a Senior Manager, Regulatory Reporting in Toronto to lead regulatory reporting processes. The role involves managing a team, ensuring compliance with regulations, implementing changes, and enhancing the client experience. Candidates should have 7-8 years of relevant experience in Global Markets and strong relationship management skills.

Qualifications

• 7-8 years of experience in Global Markets, Risk/Compliance Operations, or regulatory reporting.
• Subject matter expertise in US and Canadian regulations including FINRA, CFTC, SEC.
• Familiarity with data analytics tools and strong relationship management skills.

Responsibilities

• Oversee regulatory reporting and resolution of discrepancies.
• Support implementation of regulatory trade reporting requirements.
• Manage relationships with internal stakeholders and clients.

Skills

Global Markets

Risk/Compliance Operations

regulatory reporting

relationship management

detail-oriented

Education

University Degree

Masters degree

Tools

Alteryx

SQL

Python

JIRA

Confluence

Broadridge

Job description

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Work Location:

Toronto, Ontario, Canada

Hours

37.5

Line Of Business

TD Securities

Pay Details

$108,800 - $163,200 CAD

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. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description

The Senior Manager, Regulatory Reporting Group is responsible for leading a team of regulatory reporting professionals in managing the trade reporting process to various regulatory bodies. Knowledge of global regulations, such as G20, IIROC, MiFID, LOPR, SFTR, etc., is required. In this role, you will be responsible for partnering with stakeholders to ensure regulatory and trade reporting obligations are met, implement changes to meet evolving reporting requirements and continue to strive for providing the best client experience possible. You should be comfortable with the regulations to assess and challenge the manner in which we define and report on regulatory obligations, as we are continually looking to improve upon our compliance and efficiencies. The successful candidate will demonstrate business, technology and regulatory aptitude by assisting and implementing in the global strategy for Operations, which enables the business to meet its short and long-term objectives. The Senior Manager, Regulatory Reporting will be accountable for overseeing the day-to-day Operations and be a trusted partner with local and global stakeholders.

The Senior Manager will be responsible for risk reporting and escalation to the AVP, Global Head of Regulatory Operations & Reconciliations.

Accountabilities

BAU: You will oversee the successful submission of regulatory reporting and manage the resolution of discrepancies that arise. This includes liaising with various internal stakeholders, such as Compliance and Technology, globally, as well as keeping senior leadership comprised of any concerns as they are identified.

Implementation & Regulatory Reporting: You will be responsible for supporting implementation plans based on operationalization of the regulatory trade reporting requirements, which requires an in-depth understanding of the regulations. You will be working closely with Technology to define business requirements and test cases, including the review & approval of test cases. As you work with key stakeholders, you will assist in the design and implementation to ensure reporting accuracy, completeness, and timeliness of internal procedures and controls for trade reporting.

There is also ample opportunity to bring efficiencies and maturity to processes from an internal perspective, with the use of small tech capabilities such as Python, Alteryx and UiPath. The incumbent will actively be looked upon to design, influence and deliver upon initiatives.

Compliance: You will work closely with partner groups (Internal Audit, Compliance, Technology, etc.) regarding trade data quality and trade reporting inquiries. You will strive to create efficiencies across the teams and obtain formal guidance on interpretation of regulatory reporting requirements, and escalate, as needed. You will endeavor to proactively identify issues and scenarios for resolution prior to being identified by regulators and clients.

Audits / Exams: You will be responsible for supporting audits and exams as the regulatory reporting SME. This includes being comfortable and experienced in liaising with examiners, provisioning of data and information upon request, and coordinating with other internal stakeholders to ensure alignment. Post-examination requirements will also need to be tracked, actioned, and completed by prescribed deadlines to meet regulator and auditor expectations.

Relationship Management: You will effectively manage relationships with internal stakeholders (Technology, Operations, Compliance and Client Data Management) to operationalize regulatory reporting processes. As the liaison between stakeholders, you will help drive delivery of trade regulatory reporting projects and resolve daily issues, as they arise. You will be an active participant in trade regulatory project meetings, and as required, provide status and issue reports to Senior Management. You will liaise on a regular basis with individuals in the various Lines of Business, at various levels, to gather and validate information, document, and test controls, along with monitoring and tracking.

Data: Work with the Chief Data Office to identify, define and document critical data elements and other information necessary to comply with regulatory trade reporting requirements.

Client Experience: You will assist our counterparties in resolving trade reporting issues and developing strong partnerships with the Business Leaders and Infrastructure Partners to ensure timely resolution of issues impacting our clients. You will also work to proactively identify issues and scenarios that could impact the client experience and work towards resolving them before they result in trade reporting discrepancies.

Qualifications, Skills & Experience

• 7-8 years of Global Markets, Risk/Compliance Operations, and/or regulatory reporting experience
• Subject matter expertise within transaction reporting across US and Canadian regulations including but not limited to FINRA, CFTC, SEC, Canadian reporting requirements, CIRO etc.
• Familiarity with Python and/or other data analytics tools like Alteryx, SQL is an asset
• Understanding of applications such as JIRA, Confluence, Broadridge is an asset
• Solid Knowledge of US regulations is a key requirement
• Solid knowledge of Capital Markets products and willingness to continue enhancing knowledge
• Strong relationship management skills required to handle both internal and external stakeholders
• Detail-oriented with the ability to work independently with competing priorities in a fast-paced environment
• Experience with client data systems and processes is preferred
• University Degree at a minimum is required, Masters degree is an assest
  
  

Who We Are

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.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec Only)

Sans Objet

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Investment Banking

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