Regulatory Policy Director
4 days ago
TD Bank is one of the world's leading global financial institutions, with a presence in Canada and the United States. We are seeking an experienced Regulatory Policy VP to join our team in London, UK.
The estimated salary for this role is $120,000 - $180,000 per year, depending on experience.
Job Description:As a Regulatory Policy VP, you will be responsible for driving a strong culture of supervision and supervisory engagement, considering industry best practice and regulatory change. You will partner with TD Securities' Global Markets Supervisors to meet their accountabilities for oversight of employee conduct and of market, credit, underwriting, and operational risks.
You will facilitate a sustainable First Line Supervision framework that supports effective supervision practices and escalates key issues arising from Global Markets trading, sales and origination business activities; and execute delegated supervision accountabilities on behalf of Global Markets supervisors in accordance with Firm policy and regulatory requirements.
- Manage key relationships with business line supervisors and serve as primary contact to advise or coordinate with key stakeholders on day-to-day supervision, regulatory or business conduct matters requiring escalation.
- Support Global Markets in meeting its regulatory obligations (e.g., MiFID II).
- Prepare Monthly Supervision packs for assigned businesses and lead meetings with Global Markets Supervisors to analyze key metrics/trends and review market/business conduct escalations;
- Assist with management of MiFID Best Execution Framework, maintenance of review procedures and Best Execution Forum meetings.
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