Global Markets Regulatory Supervisory Associate

TD; New York (NY); On-site; USD 106,000 - 144,000; Full time

Job summary

TD Securities in New York is seeking a Regulatory Associate to proactively support supervision of trading, sales and origination activities, ensuring compliance with market conduct and regulatory requirements. You will work with Compliance, Operations, and other supervisory teams to prepare reviews and provide clear documentation for senior management.

The role emphasizes coordination of supervisory packs, escalation of concerns, and participation in regulatory initiatives with a focus on risk

Qualifications

• Bachelor’s degree required.
• 3+ years of related experience in the capital markets.
• Familiarity with surveillance tools such as Behavox, Smarsh, Social Patrol is a plus.

Responsibilities

• Support supervisory reviews related to market conduct, communications, best execution, and regulatory reporting obligations across multiple asset classes while validating exception reporting to identify trends, emerging risks, and control gaps.
• Prepare Monthly Supervision packs for Global Markets supervisors of assigned businesses; lead meetings and document conclusions/actions; confirm evidentiary documentation for supervisory accountabilities.
• Coordinate with Compliance, Operations, Global Markets supervisors, and other RSM teams to respond to regulatory inquiries and Audit requests.
• Escalate potential regulatory, conduct, trading, or supervisory concerns in accordance with established procedures.
• Support special projects related to regulatory initiatives, technology implementations, and supervisory framework enhancements.
• Support the review and maintenance of Written Supervisory Procedures (WSPs), supervisory evidence, and control documentation.
• Participate in internal or external business meetings/forums/committees as needed

Education

Bachelor’s degree

Job description

TD Securities in New York is seeking a Regulatory Associate to proactively support supervision of trading, sales and origination activities, ensuring compliance with market conduct and regulatory requirements. You will work with Compliance, Operations, and other supervisory teams to prepare reviews and provide clear documentation for senior management.

The role emphasizes coordination of supervisory packs, escalation of concerns, and participation in regulatory initiatives with a focus on risk