Job Description

TD Description

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Department Overview

TD Bank Financial Group is the seventh largest bank in North America by branches and serves approximately 17 million customers. Ranked among the world\'s leading on-line financial services firms, our 90,000 employees around the world offer and support a full range of financial products and services through:

• Canadian Personal and Commercial Banking
• Wealth Management
• Wholesale Banking
• Insurance
• U.S. Personal and Commercial Banking
• Corporate Support Areas

We operate in a number of locations in key financial centres around the globe.

Department Overview

The Global Markets Documentation Regulatory Team in Global Counterparty Credit is an integral part of TD Securities. The group provides best-of-class service to business partners in TD Bank Financial Group (the Bank) The Regulatory Team is responsible for implementing and ensuring compliance with G20 regulations for TD Securities trading clients.

Job Requirements

• Law degree is preferred
• 2 years of solid regulatory documentation or capital markets experience.
• Understanding of Dodd-Frank, EMIR and Canadian regulations in derivatives area and the global regulatory environment.
• The candidate for this position will enjoy working on documentation, be able to effectively apply legal and sound risk management principles.
• Excellent written and verbal communication skills.
• Self-motivated with the ability to work independently while understanding when to involve other team members as needed and to work effectively in a team environment.
• High degree of integrity and strong work ethic. Timely follow through on commitments. Promote best practices within department and execute assigned duties and enhance control over procedures.
• The candidate has the ability to work under tight deadlines and has the flexibility to support global time zones as required.

Hours

37.5



The successful candidate will engage clients in the Over-The-Counter (OTC) derivatives space to ensure regulatory compliance. The role requires the analysis and review of bank and client regulatory documentation on a daily basis.

Principal Responsibilities

• Understand the current state of legislation, regulation, and guidance with respect to OTC derivative transactions globally including Canada, the US, the EU, the UK, Singapore, etc;
• Distinguish the cross-border applicability of OTC derivative regulations across multiple OTC asset classes;
• Communicate OTC derivative regulatory requirements to clients and their legal representatives in a business-friendly manner in order to finalize regulatory documentation;
• Prepare and thoroughly review the necessary legal documentation requirements and disclosures to ensure TD Securities\' regulatory obligations are met;
• Work with the trading desks to understand client needs and track and prioritize high value relationships;
• Ensure support is provided to trading desks in a timely manner across several time zones including North America, Europe, and Asia;
• Explain the necessity and significance of OTC derivative regulations to internal and external stakeholders if challenged;
• Develop a solid understanding of the Bank\'s requirements in areas of global regulatory framework, credit and documentation;
• Review and analyze TD Securities\' new and existing client base to ensure regulatory compliance on a day to day basis;
• Utilize technology to track and monitor workflow and updating databases with required information;
• Produce reports and status updates as required;
• Escalate issues proactively and in a timely manner;
• Be a reliable source of reference to internal business partners;
• Provide assistance to the team on a day to basis and working on ad hoc projects as may be required;
• Participate in a range of projects related to the legal and regulatory aspects of derivatives products.

Inclusiveness

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. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

Additional Information

#LI-Hybrid

Business Line

TD Securities

Job Category - Primary

Securities / Wholesale Banking

Job Category(s)

Securities / Wholesale Banking

Job Family

TDS Securities

Time Type

Full Time

Employment Type

Regular

TD Bank