Director, TDS Governance and Control

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Hours:

Line of Business:

Pay Detail:

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:

Preferred Qualifications:

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 Banks 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 Associate Vice-President and Managing Director TDS G&C the primary role of the Senior Manager TDS G&C is to support all TDS businesses globally in adherence to regulatory requirements managing risk and having effective operational controls in place. The position is expected to support and work with other TDS G&C teams and TDS risk and control partners to ensure the TDS business globally have adequately considered managed and mitigated risks in day-to-day activities operations products and services and is operating within risk appetite.

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

• Develop and implement a TDS US risk profile dashboard working with business subject matter experts;
• Demonstrate a strong understanding and promote awareness of key operational risk. frameworks/policies risk appetite and Operational Risk Management (ORM) programs to support a strong risk culture;
• Lead the execution of certain TDS ORM programs within enterprise timelines (i.e. TDS US Risk Catalogue);
• Support the management of the TDS US Oversight Committee;
• 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 Risk and Control Partners such as Compliance and Risk Management; and
• Foster an environment and culture that encourages productivity innovation process improvement teamwork and a high level of professionalism.

JOB REQUIREMENTS

• Strong business acumen and data analytical capabilities ability to consolidate information into clear concise analysis in support of business decisions
• High level of proficiency in Microsoft Powerpoint and Excel
• Relationship builder with a proven ability to partner build confidence and influence multiple stakeholders at all levels across the organization
• Ability to thrive in a fast-paced environment
• Forward thinking and strategic thinking capabilities in order to support the business in developing and executing on governance risk management and control solutions
• Effective at managing multiple priorities and tasks at the same time
• Project management expertise will be considered an asset
• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions
• Knowledge of TDS businesses preferred
• Ability to influence at senior executive levels and motivate others including those who do not have a direct reporting relationship
• Strong communicator with excellent oral written and presentation skills
• Organizational awareness & the ability to balance the viewpoints of various stakeholders
• Experience in developing policy and control frameworks writing policy and /or procedure will be considered an asset
• Experience with Tableau or comparable data analytics and visualization tools will be considered an asset

Education and Accreditation

• Undergraduate degree
• Professional designation such as CPA CA LLB and/or MBA preferred
• 10 years of relevant industry and governance risk internal control and/or compliance experience

INCLUSIVENESS

At TD we are committed to fostering an inclusive accessible environment where all employees and customers feel valued respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials or accessible meeting rooms or other accommodation) please let us know and we will work with you to meet your needs.

The Director Governance & Control partners with the Business and other groups globally to mitigate risk and delivers world class service to our global client base. Additionally ensures the Business adequately consider manage and mitigate the risks in day-to-day activities operations products and services and is operating within risk appetite. Director Governance & Control reviews and assesses whether the Business is adhering to internal (risk management oversight function and audit) and regulatory requirements requests and expectations.

Job Accountabilities:

• Fosters an effective transparent culture of risk awareness accountability ethics integrity and conduct
• Evaluates business strategy and activities against risk appetite and provide management and stakeholders with sufficient and timely insight into the business and industry landscape
• Partners with Business to ensure risks are adequately identified assessed and develop risk mitigation strategies to manage current and emerging risk exposures across all risk categories and all business areas
• Supports the Business in the design implementation and sustainment of controls within key processes and procedures
• Delivers effective control testing and monitoring documentation of results and tracking execution of action plans to resolution
• In compliance with Business Change Review (BCR) Program for change initiatives delivered as projects participates (as appropriate) in key project activities and oversight/governance committees
• In partnership with the 2nd line and oversight functions incumbent will provide advice and facilitate discussions with management and stakeholders on relevant internal and external events and collaborate to expediently resolve incidents identify and track issues to remediation and develop processes to create timely complete and accurate reporting
• Enables proactive data-driven risk-based decision making
• Partners with Business to proactively prepare for internal / regulatory requests testing engagements exams and reviews
• Leads all aspects of a highly complex and diverse governance and control function for an area of significant risk complexity or scope usually involving medium to long term planning
• Ensures a coordinated approach with other business areas the broader organization and enterprise control functions
• Leads and coordinates the overall discipline and strategy for the respective areas of Business Governance and Control while aligning to the enterprise standard methodologies
• Provides coaching mentorship and guidance to practitioners business executives within area of expertise
• Strategic partner to leadership team on the management of the function with deep industry external / internal enterprise knowledge recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management / enterprise areas
• Responsible to explore and deliver leading edge innovation and process improvements and build a learning organization through leadership coaching and mentorship
• Builds and cultivates an environment of innovation that leads to working smarter and simpler
• Instills an attitude of critical thinking risk management and understanding the needs of TDSs colleagues
• 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

Education & Experience

• Undergraduate degree preferred
• 10 years related experience required
• Knowledge of the regulatory environment and requirements
• Build strong relationship with business partners and provide challenge and push back as needed
• Proven ability to successfully lead change and manage effectively in a matrixed environment
• Skillful communicator and influencer to build relationships advance decision making and effect change over time
• Highly motivated individual with a track record successfully implementing large scale globally sourced programs with superior results.
• Ability to work with a pool of experts and ensure high levels of service even when the effort crosses organizational boundaries
• Thrives in a fast-paced environment managing multiple deadlines and priorities

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 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 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:
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.

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

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

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