Work Location:

Canada

Hours:

37.5

Line of Business:

Governance & Control

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) 1B Governance & Control (G&C) team partners with the TDS businesses globally to oversee the design, implementation, maintenance, and monitoring of effective internal controls to ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.

The team is responsible for overseeing the 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 Enterprise and TDS methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring TDS representation.

Job Description

Reporting to a Senior Manager (hiring manager) on the TDS 1B G&C team, the G&C Manager's primary role is to support TDS Corporate & Investment Banking businesses in adherence to regulatory requirements, managing risk and having effective operational controls in place. The Manager is expected to work with the relevant TDS businesses and TDS control partners to ensure appropriate policies, procedures and controls are in place and appropriately governed.

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

• Demonstrate a strong understanding and promote awareness of key operational risk frameworks/policies and risk appetite to support a strong risk culture;

• Oversee and challenge the effective implementation of Corporate Operational Risk Management (C-ORM) programs (e.g., Process Risk & Control Self-Assessments (pRCSAs), Internal Loss Event validation and reporting, Key Risk Indicator reporting);

• Provide SME advice and input into the ongoing operating effectiveness assessment of TDS key controls;

• Work with business stakeholders and other G&C leads to oversee and provide support on issues/findings to ensure committed milestones for remediation are actioned by the business appropriately, and in a timely manner;

• Work with other G&C teams to proactively identify and escalate significant risk events and ensure that the businesses remain compliant with regulatory, risk management and control expectations;

• 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, Legal, GAML, Privacy and Internal Audit;

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

• 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.

• Minimum 6 years Risk, Audit, and/or Compliance experience (financial services industry preferred).

• Knowledge of capital markets 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, 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.

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.