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) is one of the world's leading wholesale banks with operations spread across 15 offices globally. It provides a full suite of products and services to corporate and institutional clients through Global Markets (GM), Corporate and Investment Banking (CIB), and Global Transaction Banking (GTB) that collaborate to provide high quality integrated financial solutions.

Governance and Controls 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. 

The team partners with all TDS 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. 

Position Summary:

The 1B Governance & Control team is responsible for enabling the business to identify and understand the risks it faces and supports the business in managing its risks appropriately in alignment with the Bank's strategy and risk appetite.

The primary accountabilities of the role include leading a global 1B Governance & Control team to deliver and manage effective first line operational control processes. The role is also accountable, as a team independent from the day-to-day process, to implement and maintain appropriate mitigating controls, and assess the design and operating effectiveness of those controls in a Global operating environment. 

The group’s primary responsibilities include identifying and implementing solutions that focus on promoting a strong risk management culture, improving our control consciousness, our agility to respond to business and regulatory needs and strengthening our operational leadership.  The incumbent should have an advanced knowledge of the Three Lines of Defence framework, and how this aligns to the Governance & Control mandate for businesses across a Global Wholesale Bank.

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

Specific responsibilities include:

• Identify strategies to build out Governance & Business Control capabilities while owning the successful delivery of the First Line control mandate
• Identify opportunities to align processes and provide guidance on pan TDS Governance & Control programs
• Lead the strategic and tactical direction of Governance & Control team, ensuring alignment with the TDS strategy and mandate
• Act as a specialist owner or representative in the definition, implementation, and execution against the Business Governance & Control strategies and priorities and ensure the controls remain appropriate and effective
• Serve as the Centre of Excellence in driving the governance, standards and operating model for Business and Operational resiliency and effectively contributing to the management of operational risk by acting as an effective control function in its area of subject matter expertise
• Develop proactive reporting on key risk and control metrics
• Modernize internal controls and develop seamless processes to meet current and future regulatory expectations with speed and agility while championing and challenging operational units
• Design, implement and align effective governance, risk and control processes to support business growth while operating within our Risk Appetite
• In partnership with the various global teams, work to revise, implement, and produce key risk metrics across the TDS regions
• Establish and document key controls – including monitoring and testing – to ensure ongoing compliance with all internal regulatory and control requirements
• Build and foster an environment of innovation that leads to working smarter and simpler
• Establish productive plans for novel ideas --- need to be comfortable with ambiguity and thrive on change
• Ensure processes utilized are effective and efficient – collaborate with impacted groups to ensure we are offering an integrated Control environment
• Develop and maintain necessary functional expertise to deliver expected level of service
• Manage the Privacy Designates for TDS
• Review and approve the Change Risk Assessments that Business prepares for any material change impacting Global Operations
• Participate in and implement enterprise programs and requirements across TDS
• Stay abreast of developments in markets, economy, industry, regulations, geo-political environment and risks affecting the businesses.
• Ability to influence, change and develop strong interpersonal relationships with the business, team members and key stakeholders

Managerial Responsibilities

• Provide leadership, direction, advice and guidance to the teams, thus maintaining high levels of integrity, motivation and morale.

• Manage the performance of the teams, ensuring staff have clear pre-set objectives and get regular feedback on their performance.

• Establish an environment that promotes respect, diversity and inclusion for each individual employee and adhere to the policies and guidelines of the Bank including the TD Framework and Our Shared Objectives
• 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 Infrastructure
• 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

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 (Quebec only):

Sans Objet