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Vice President Operations Control Officer
TD Bank
New York, NY, United States
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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. www.td.com
Job Description
The incumbent will report to the Head of U.S. Operations and will be required to interact with various internal and external groups.
This position is accountable for the effective operational and administrative control and support for TD Securities and NY Branch.
The candidate must possess a complete understanding of the products traded by TD Securities (USA) LLC. The incumbent must also understand systems interfaces, payment and funding processes. He/she should also be able to work independently with minimal supervision, establish priorities, and possess strong communication, analytical, and problem solving skills.
Job Requirements
Specific Accountabilities and Responsibilities
• Responsible for the NLP process for the U.S. treasury auctions
• Be the liaison with the Federal Reserve regarding the auctions and the audits of the auctions
• Coordinate all audits requirements (internal and external)
• Responsible for ensuring that all open audit points on time
• Knowledge of FIST/Impact trading system
• Must possess a complete understanding of stock record reconciliations
• Oversee all bank account reconciliations
• Oversee the reconciliation of sub ledger to general ledger
• Oversee the development of MIS reports to ensure that all operational risks are identified and monitored
• Oversee all MIS reports regarding volumes, fails, and stock record breaks
• Will be responsible for creating and updating operational procedures
• Ensure timely and satisfactory resolution of all money differences and stock record breaks
• Responsible for filing Fed schedule A, B, C, D, SI, WI
• Responsible for fielding all inquiries regarding the Fed schedules
• Assist in analysis, development, testing and implementation of operating and process improvements
• Participate fully as a member of the team, promote team effectiveness and contribute to a positive work environment
• Become a working member of the Broker Dealer Operating Committee
Accountabilities to the Customer:
• Escalate processing issues where necessary to ensure a high level of service is maintained
• Serve clients as required- adhere to Service Level Agreements and internal service delivery standards
• Identify opportunities to improve service delivery, support process improvement initiatives
Accountabilities to the Shareholder:
• Prioritize and manage own workload to meet SLA requirements for service and productivity
• Follow firm and industry regulations and operating practices in completing and recording transactions for either the firm or clients
• Escalate non-standard or high risk transactions or other activities as appropriate
• Ensure documentation prepared/ completed is accurate and properly reflects client/ business intentions and is consistent with relevant rules/ regulations
• Complete investigations- report/ escalate risk issues identified or process gaps
• Access systems, know and apply system capabilities, ensure upload/ download of information is completed timely and accurately
• Assist in analysis, development, testing and implementation of operating and process improvements
Accountabilities to the Team:
• Participate fully as a member of the team, promote team effectiveness and contribute to a positive work environment
• Support the team by continuously developing knowledge in own area
• Participate in performance management and development activities
• Keep others informed and up-to-date about the status/ progress of projects and all relevant or useful information related to day-to-day activities
Capability Requirements:
• Concern for order
• Achievement Motivation
• Information Seeking
• Teamwork
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 in and serve, and creating an environment where every employee has the opportunity to reach her/his potential.
If you have a disability that requires an accommodation to complete the application process, please e-mail TD Bank's HR Compliance Department at hrcompliance@td.com. Please include your full name, contact information and details about your request within the e-mail.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.