TD Bank Director, New York Control Services, Global Operations & Business Serv in New York, New York

Auto req ID 200790BR

Job Title Director, New York Control Services, Global Operations & Business Serv

Job Status Full Time

Country United States

Province/State New York

City1 New York

Location NYC - 52nd St (9th Fl)

Business line TD Securities

Job Category - Primary Securities | Wholesale Banking

Job Category(s) Securities | Wholesale Banking

TD Description TD Securities provides a wide range of capital market products and services to corporate, government and institutional clients. The firm works with clients around the world, focusing selectively and strategically on the key financial centers: Toronto, Montreal, Calgary, Vancouver, New York, London, Singapore and Tokyo.

Department Overview

Global Operations and Business Services is a diverse and dynamic group of individuals, whose varied talents and experiences enable us to provide critical infrastructure services that support and/or control the trading, investment, and corporate banking functions of TD Securities. We are committed to innovation with purpose, execution with excellence, and continually improving the employee value proposition. We foster a culture of diversity, inclusion, and community giving. Our dynamic team is divided into five main functional areas: Capital Markets, Financing Operations, Payment and Correspondent Banking Services, Business Services, and Change Delivery.

The Global Operations team partners with the front office and other groups globally to mitigate risk and deliver world class service to our global client base. They provide operational support and control functions across the trade lifecycle. The team is heavily involved in new product initiatives and process improvements to streamline our support model. They take great pride in ensuring controls are being continuously reviewed and updated while focusing on the customer at every point of contact.

If you are industrious, collaborative, innovative, and enjoy visionary thinking, while also maintaining a commercial view on the market, joining our team could be an ideal opportunity for you.

Job Description

The primary accountabilities of the role include leading the New York based team to deliver effective operational processes as it relates to reconciliations and regulatory control. The role is also accountable, as a team independent from the day to day process, to asses and actively lead continuous improvement efforts intended to increase efficiency and maintaining the standards and controls required in a Global operating environment.

The group’s primary responsibilities include reconciliations of a variety of on and off balance sheet accounts spanning multiple business lines in the New York office. The incumbent should have an advanced knowledge of the operating environment in their own area, as well as a solid understanding of the full trade lifecycle for products and businesses across a Global Wholesale Bank.

The individual will also be responsible to explore and deliver leading edge innovation and process improvements and to create a 'learning' organization through leadership, coaching and guidance.

Lastly, the role will provide local oversight for the Business Continuity Management function for New York and Houston.

Job Requirements

• Lead the strategic and tactical direction of the New York Control Services team, ensuring alignment with the Global Operations & Business Services strategy and mandate

• Act as a specialist owner or representative in the definition, implementation, and execution of new reconciliations or enhancement of existing reconciliations as it relates to the Operational activities carried out in New York

• Partner with peers in Finance and Regulatory Reporting to provide accurate Operations data necessary for the completion of 15c3-1 and 15c3-3 computations

• Proactively manage the New York Operations control framework to ensure controls remain appropriate and effective in high business growth environment

• Own New York Operations’ relationship with internal and external auditors for annual reviews, counterparty securities counts, as well as other 17a-5 and 17a-13 requirements

• In partnership with the global MIS and Reporting and local Trading/Business Management teams, define, implement, and produce key metrics for the New York business including KRI and KPI; provide regular reporting to various New York governance committees

• Establish and document key controls – including monitoring and testing – to ensure ongoing compliance with firm and regulatory requirements

• Daily collaboration with cross functional teams and partners globally to identify key business opportunities and play a vital role in driving change and execute on our key initiatives

• Build and foster an environment of innovation that leads to working smarter and simpler

• Instill a mindset of critical thinking, risk management and understanding the needs of TDS's clients and internal business partners

• Establish productive plans for novel ideas --- need to be comfortable with ambiguity and thrive on change

• Ability to influence change and develop strong interpersonal relationships with the business, team members and key stakeholders

• Guide team members to achieve career goals

• Embrace diversity, respect one another and create an environment where team members look forward to coming to work each day and feel proud to work in Global Operations

• Responsible for the provision of a challenging and stimulating environment, primarily through delivering quality leadership and empowering the team with the skills, tools and resources to follow through with their ideas

• Responsible for the operating budget, delivering business objectives and people management

• Enhance existing and develop new MIS reports, in partnership with the central functional team, to ensure that all operational risks are identified, monitored and controlled

• Ensure processes utilized are effective and efficient – collaborate with service delivery, technology, finance and other specialist groups to ensure integrated service delivery

• Responsible for operating within documented risk parameters and ensuring exception/escalation processes are in place ensuring that risk parameters remain appropriate through periodic review and forward looking risk assessments.

• Develop and maintain necessary functional expertise to deliver expected level of service

• Ensure knowledge transfer within TD Securities /TDBFG

• Act as a TDS representative in any relevant external and internal activities


• University or college degree

• At least ten (10) years' experience in a leadership role within Capital Markets

• Sound knowledge of reconciliation management and development in a capital markets environment

• Solid understanding of regulatory and control framework required by FINRA and SEC for US Broker Dealer and the OCC for Bank entities

• Business focused with understanding of operational workflows – Strong Knowledge of Capital Markets and business acumen on the trade lifecycle

• Demonstrated relationship building, people management and leadership skills with the proven to ability to make things happen through use of impact and influence

• Strong team player, collaborates with others across Global teams, encourages other team members to participate and contribute and acknowledges the contributions of others

• Confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

• Proven analytical skills and sound judgement in a dynamic business environment

• Strong people management skills and ability to motivate and drive a team to deliver their goals

• Strong judgement and problem solving - Thinks ahead, anticipates questions, finds alternative solutions and identifies clear objectives

• Creative thinking and analytical skills to review processes, build process flows, and identify opportunities for improvement

• Highly motivated individual with a proven track record to deliver results

• Demonstrated time management and organizational skills to meet tight deadlines as well as flexibility to adapt to changing priorities

• Proficient in Microsoft Office products including Word, Excel, Visio, Adobe and PowerPoint


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 in and serve, and creating an environment where every employee has the opportunity to reach her/his potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

**Province/State (Primary) New York

City (Primary) New York