Manager II, Governance & Control

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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 candidates 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.

Job Description:

About the Role

As a key member of the TD Securities (TDS) 1B Governance & Control (G&C) team the Manager acts as a trusted advisor and risk partner to the global Corporate & Investment Banking (CIB) businesses. This role involves providing oversight advice and operational support to promote resilience and reduce the risk of non-compliance with laws regulations and internal policies.

The role spans theentire CIB portfolio (i.e. Capital Markets Mergers & Acquisitions Corporate Banking Investment Banking etc.). It requires a strong understanding of capital markets and non-financial risk management along with the ability to collaborate across groups in first second and third lines of defense. The Manager will support the consistent and timely implementation/maintenance of risk control and governance programs policies procedures and strategic initiatives across CIB.

Key Responsibilities

• Serve as a central point of contact for CIB businesses on governance risk and control matters providing oversight advice and operational support in collaboration with subject matter experts.

• Champion a strong risk culture by instilling a deep understanding and adherence to the banks risk appetite risk frameworks policies and standards.

• Lead and support the execution of key enterprise risk programs including but not limited to Risk & Control Self-Assessments (RCSAs) Operational Risk Events (ORE) and issues management Financial Crime Risk Management (FCRM) and Regulatory Compliance Management (RCM).

• Support the development and maintenance of the RCSA program by engaging with control owners/Business to document key risks and controls identify any gaps and drive remediation.

• Partner with Compliance and the Business to adhere to RCM program related policies/standards including identifying applicable Laws Rules and Regulations (LRRs) assessing risk rating mapping controls and addressing any gaps.

• Work closely with the Business on urgent new deal initiatives that may pose reputational risks conducting risk reviews and ensuring alignment with relevant Risk Partners and Executive Committees.

• Provide subject matter expertise on control design and effectiveness and support the remediation of audit regulatory and self-identified issues. Facilitate cross-functional workshops as required to document and manage issues through to resolution.

• Support strategic initiatives ad-hoc tasks and change projects including but not limited to system enhancements new business/product launches change risk assessments vendor onboarding business continuity assessment and process innovation.

• Support identification and risk assessment of End User Computing (EUC)/non-model tools/applications and assist in implementing and maintaining appropriate controls.

• Build and maintain strong relationships with stakeholders across the three lines of defense including but not limited to CIB Businesses Compliance Legal Financial Crime Risk Operational Risk Environmental & Social Risk Operations Technology and Internal Audit.

• Provide regular program updates to key stakeholders and address ad-hoc reporting needs as they arise.

• Foster a culture of continuous improvement collaboration and professional excellence.

• Navigate ambiguity and shifting priorities with confidence managing multiple deliverables across business lines.

What You Bring

• University or post-graduate degree; professional designation in accounting auditing or risk management is an asset.

• Minimum 6 years of experience in Risk Audit or Compliance within financial services preferably in capital markets.

• Strong understanding of capital markets (Debt and Equity Capital Markets) investment banking M&A and/or corporate banking.

• Exceptional attention to detail and ability to manage competing priorities in a fast-paced dynamic environment.

• Proven ability to influence and build strong relationships across all levels of the organization.

• Strong business acumen including project management governance and compliance understanding.

• Analytical and problem-solving skills with the ability to think critically cut through complexity and drive change and execute with speed.

• Self-motivated and proactive with the ability to work independently and collaboratively in a team environment.

• Excellent communication facilitation and relationship management skills.

• Demonstrated ability to work cross-functionally and navigate complex organizational structures.

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 6500 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:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were 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 youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well 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 youd 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):