Work Location:

Canada

Hours:

37.5

Line of Business:

TD Securities

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Department Overview

TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to design, implement, maintain, and monitor effective internal controls and ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.

The team is responsible for ensuring timely and consistent implementation – across all TDS businesses – of all risk, control and governance programs, initiatives, policies, and strategic business projects.  The TDS G&C team acts as the primary contact for the TDS businesses, working closely with subject matter experts from each TDS business line.  The team works together with the business leaders to implement TDS G&C methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring TDS representation.

Job Description

Reporting to the Senior Manager, TDS G&C, the primary role of the Manager, TDS G&C is to support all TDS businesses in adherence to regulatory and enterprise requirements, managing non-financial risk, and ensuring effective controls in place. 

As part of the key accountabilities of the role, the Manager will:

• Provide leadership and oversight of a team responsible for TDS process risk and control self-assessments, related quality control testing, and testing other key controls as required. This includes identifying and recommending opportunities to automate, enhance or streamline controls.

• Direct management of team, including hiring and termination, team objective setting, training, and ongoing performance feedback processes; ensures team adheres to enterprise frameworks and methodologies and meets objectives.

• Assist with the external event scenario analysis and determine impact and suitable action where required.

• Assist other G&C teams to ensure that the businesses remain compliant with regulatory, enterprise, risk management and control expectations.

• Work with other G&C teams to proactively identify and escalate significant risk events prior to identification by risk partners.

• Lead and provide guidance with assessing Key Risk Indicators to identify opportunities to enhance the program.

• Effectively manage ad-hoc governance, risk management and control projects or tasks of varying complexities within established deadlines.

• Establish strong relationships and maintain an efficient interaction model with business partners, other G&C leads, and Control Partners such as Compliance, Risk Management, GAML, and Internal Audit.

• Support executive reporting, including meaningful data insights, on the overall status of programs.

• Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism.

Job Requirements

• University or Post-Graduate degree; professional accounting/auditing/risk management designation would be considered an asset.

• Experience as a people leader.

• Minimum 4 years Risk, Audit, and/or Compliance experience (financial services industry preferred).

• Knowledge of brokerage businesses preferred.

• Strong analytical/research skills & business acumen with the ability to breakdown complex subjects into manageable parts in a systematic manner & assess risk/challenge the status quo.

• Strong interpersonal and relationship management skills.

• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.

• Effective time management, multi-tasking, and organizational skills to meet tight timeframes.

• Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.

• Ability to take initiative and work independently and in a team environment.

• Confident presentation and facilitation skills.

• Ability to process and handle confidential information with discretion.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more
 

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.
 
Colleague Development 
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

 
Accommodation 
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement:

N/A.