Senior Manager, Conduct Review Program, Governance & Controls

Work Location:

Hours:

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Pay Details:

Were 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) Governance and Control 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 foster a culture of diversity inclusion and community giving.

The Governance & Control (1B) team partners with the Business (1A) and other groups globally to mitigate risk and deliver world class service to our global client base. Additionally we ensure the Business adequately consider manage and mitigate the risks in day-to-day activities operations products and services and is operating within risk appetite.

The Conduct review program continues to evolve and supports the reporting of conduct themes and insights to enable preventive solutions where required across TD Securities. The program focuses on developing consistent practices on employee coaching and supervisor training on how conduct should be escalated and managed.

If you are industrious collaborative innovative and enjoy visionary thinking while also maintaining a commercial view on the market joining our team could be an ideal opportunity for you.

Role Details:

The Senior Manager Conduct Review Program reports into the Global Head of Culture and Conduct Risk and has regional (local) reporting into Head of Governance and Control Asia Pacific. The primary role is to create an optimal environment for Conduct and Culture Risk Management for all business activities and associated support functions ensuring that conduct and culture risk related policies and standards are consistent with business strategies and priorities.

In the Asia Pacific region this role will work closely with regional leadership to proactively monitor identify manage and mitigate conduct and culture risk subject to local regulatory expectations. They will also chair senior leadership meetings and committees to inform and influence Global Senior Executives. The role is accountable for managing an end-to-end closed loop process to manage the Conduct Risk Program for the Asia-Pacific region which includes identifying themes and trends in each jurisdiction that could potentially lead to Conduct issues and work collectively with stakeholders to mitigate the risk of such issues.

In additional the role will lead global initiatives and work with team members across various geographies business and Technology stakeholders to ensure a consistent approach to how TD manages and mitigates conduct and culture risk. The role is also accountable to supporting Fraud and Insider Risk as required.

Job Accountabilities:

• Build and cultivate an environment of innovation that leads to working smarter and simpler

• Instill an attitude of critical thinking risk management and understanding the needs of TDSs colleagues

• Ability to influence change and develop strong interpersonal relationships with the business team members and key partners

• Foster an effective transparent culture of risk awareness accountability ethics integrity and conduct

Conduct Program:

• Manage regional end-to-end closed loop process to monitor manage and enhance the conduct risk program (promoting proactive oversight) across all APAC business segments

• Assist in executing annual strategic plans for the conduct and culture programs including programs instituted by regulatory authorities in the region

• Monitor compliance with enterprise conduct and culture policies guidelines and frameworks ensuring industry and regional regulatory requirements are met

• Support the refresh of conduct and culture programs per the Enterprise Conduct Risk Management Framework; Examples: conduct risk register conduct risk committee mandates

• Lead the design implementation and sustainment of controls within key processes and procedures that mitigate conduct and culture risk in line with regulatory programs including but not limited to Individual Accountability and Conduct.

• Perform thematic reviews to ensure design and operating effectiveness of conduct-related processes and controls.

• Provide training on trending conduct and culture-related regulations and issues across all APAC jurisdictions as well as on internally established conduct and culture programs.

• Maintain key regional business relationships and partner with regional stakeholders including HR Compliance Trading Business Management to implement appropriate processes

• Ensure remediation plans are prioritized owners are identified and are tracked to timely resolution

• Complete communicate and implement regional horizon scanning activities (internally and externally) to proactively monitor and assess thematic conduct risk reviews across all APAC jurisdictions

• Provide advice on proactive conduct risk opportunities

Reporting:

• Review aggregate and analyze conduct risk data to identify trends and items for escalation (investigation discussion other) or opportunities for enhancement (ex. Process improvement)

• Look for opportunities to connect the dots between various programs and data sources to enhance the regional conduct and culture programs ensuring organizational regulatory and stakeholder expectations are met

• Complete root cause analysis with business partners where events near misses trends and/or emerging risks have been identified

• Prepare and present reporting to stakeholders including business heads regional conduct risk committees and APAC regional management committees and subsidiary Board of Directors as necessary

• Submit/participate in program updates to regulators as required.

• Gain industry insights on global conduct and culture program

Candidate Profile:

• University Degree

• Acts with high degree of integrity and promotes ethical practices

• Knowledge of the conduct and culture regulatory environment and requirements

• Build strong relationships with business partners and provide effective challenge 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

• 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

• Comfortable working in ambiguous and changing circumstances able to handle complex situations independently and determine what issues require escalation what to resolve and how to make suggestions for improvement

• Effective influencer partner and collaborator willing to bridge across different teams and functions to deliver quality results

• Strong judgement and decisiveness with the ability to act with speed and agility

• Self-starter able to effectively transition between individual and team-oriented activities in meeting deadlines and deliverables

• Demonstrated ability to consolidate a large amount of information into a clear concise analysis and take initiative to capitalize on opportunities identified therein

• Strong communicator with excellent oral written and presentation skills with the ability to work confidently when dealing with senior management

• Ability to work in a fast-paced environment managing multiple priorities while meeting deadlines

• Thrives in an environment that is ambiguous complex and constantly evolving

• Strong thought leadership and change management skills

• Strong organizational and time management skills

• Experience in Conduct Culture Compliance and/or Operational Risk an asset

• Familiarity with regulatory landscape in the region including Singapore Japan and Hong Kong an asset

Who We Are

TD is one of the worlds 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 95000 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 youve 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 were 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 investment we make in our colleagues to help them and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits including medical coverage paid time off career development and reward and recognition programs.

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

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.