Work Location:

New York, New York, United States of America

Hours:

40

Pay Details:

$123,000 - $160,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

EPOCH LLC

Job Description:

The Governance & Control Specialist, EPOCH manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies/processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives.

Depth & Scope:

• Highly seasoned professional role requiring substantial anti-financial crime (anti-money laundering, anti-terrorist financing, anti-bribery and corruption, and sanctions), privacy, and risk and control knowledge/expertise in an investment management setting
• Supports and maintains the firm's anti-financial crime and privacy programs to comply with requirements under enterprise policies and standards, as well as legal and regulatory requirements
• Contributes to the maintenance of the firm's Regulatory Compliance Management program by supporting control mapping activities for the firm's array of processes
• Acts as liaison to internal business and control partners to achieve common understanding of the applicable internal and regulatory requirements, allowing for effective recommendations on course of action and best practices to improve business operations
• Ability to work collaboratively to build relationships between teams and functions, and where required, work autonomously to lead and guide others on subject matters relevant to the role
• Provides support to other tasks within the reporting organization, as assigned

Education & Experience:

• Undergraduate degree preferred
• 7+ years of relevant experience
• Advanced knowledge of anti-financial crime and privacy regulations
• Advanced business understanding and knowledge of risk and control functions
• Ability to establish goals and objectives that support delivery execution for multiple teams
• Ability to contribute to the direction of the function and provide advice to the team and delivery leadership
• Skill in using computer applications including MS Office
• Ability to communicate effectively in both oral and written form
• Ability to work autonomously as the lead and provide guidance to others within areas of expertise
• Ability to work collaboratively and build relationships across teams and functions
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines

Customer Accountabilities:

• Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy
• Develops and documents a comprehensive inventory of processes and controls with clearly-defined owners and roles and responsibilities for each process and control
• Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations
• Reviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls
• Leads the integrated execution of policies/procedures/changes across multiple functional areas
• Provides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME, identifies risk/provides guidance for complex situations and participates in designing, testing, and implementation of solutions
• Acts as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space

Shareholder Accountabilities:

• Ensures programs/policies/practices are well-managed, meet business needs/priorities, and comply with internal/external requirements
• Exercises discretion in managing communication/correspondence, information and all matters of confidentiality
• Leads research projects; supports the development/delivery of materials and presentations to management or broader audience
• Conducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices
• Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions
• Manages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
• Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary
• Maintains a culture of risk management and control, supported by processes in alignment with risk appetite
• Is knowledgeable of and complies with Bank Code of Conduct

Employee/Team Accountabilities:

• Participates as a member of the team, supports a positive work environment and ensures timely communication
• Provides leadership as a SME and participates in knowledge transfer within the team/business unit
• Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
• Keeps others informed about the status/progress of projects
• Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
• Contributes to a fair, positive and equitable environment
• Acts as a brand ambassador for your business area/function and the Bank

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Occasional
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. 

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. 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.

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

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.