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Trading Business Management, FICM Supervision

Job Description
Global Markets Supervision (GMS) provides First Line supervision accountabilities for Fixed Income/Equities Trading and Sales business lines. The primary focus of GMS is to carry out delegated Supervision responsibilities and facilitate a sustainable Front Office Supervision framework that supports effective supervision practices and escalates key issues arising from Global Markets sales and trading business activities. Specifically, GMS supports Front Office Supervisors with the execution of supervisory procedures in accordance with firm policy and regulatory requirements. The role reports to the Director, Global Markets Fixed Income Supervision. #LI-JH2Job Requirements
• Supervision responsibilities covering multiple Fixed Income business lines including US Fixed Income, Canadian Fixed Income, US DCMO, High Yield Sales and Trading and Municipal Securities
• Primary contact to advise or coordinate with key stakeholders on day to day supervision, regulatory or business conduct matters requiring escalation
• Lead the monthly business line supervision meetings and analyze key metrics, exceptions, trends and market/business conduct for escalation to Front Office Supervisors
• Present technical matters in forums with Second Line stakeholders and drive the resolution of issues in a timely manner
• Provide advice, guidance and key metrics to Front Office Supervisors on market an business conduct issues; including but not limited to:
o Advice and guidance on trading and sales activity in coordination with the Compliance
o Conduct First Line market and business conduct reviews
o Compile management reporting on trade capture metrics, regulatory scorecards, policy exceptions and other ad hoc reporting as required
o Assess implications and integrate firm policy, regulatory or best practice changes to the supervision framework
o Design and implement supervisory procedures to address regulatory and best practice requirements
o Research, investigate, collate and evaluate regulatory responses in coordination with Compliance, Front Office, other TBM teams and other support groups within TDS
o Interface with Internal and External Auditors/Examiners as needed
o Contribute metrics to Conduct Risk Committees and Vice Chair supervision presentation
• Assist Volcker supervision team with administering Enhanced Compliance Program
• Participate in local committees, internal/external meetings or forums as needed
• Proactively seeks opportunities for continuous improvement and process enhancements to supervision framework
Qualifications
• BA/BS
• Solid background/experience working in Capital Markets/Financial Services industry across various asset classes, including but not limited to: fixed Income, currencies and commodities; equities; and credit strongly preferred
• Strong working knowledge of Equity and Fixed Income regulation and supervisory requirements preferred
• Must be comfortable working with the Trading & Sales teams and interacting with Front Office supervisors
• Solid understanding of non-financial risk (e.g. market, credit, operational) concepts and applicability to business activities preferred
• S7, 63; S24 or equivalent licenses required
• Demonstrate ability to influence key stakeholders to achieve consensus and meet requirements
• Must have strong analytical and problem solving skills; be detail oriented; and demonstrate initiative to follow up on items or determine appropriate steps for timely resolution
• Demonstrates ability to work independently as well as in a team environment
• Must demonstrate ability to manage multiple tasks and deadlines; and flexibility to adapt well to changing priorities
• As many of the tasks are regulatory focused reviews, the ability to work with Legal and Compliance to interpret regulation or policy and assess applicability to business activities is paramount in this role
• Must be able to foster key relationships with senior Business Leaders or stakeholders
• Proactive and quick learner with ability to take on new responsibilities and prioritize workload as required
• Must have excellent verbal and written communication skills
• Strong Excel, PowerPoint and Word Skills