Senior Analyst, Volcker Program Governance

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Hours:

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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:

DEPARTMENT OVERVIEW

The TDS Governance and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered managed and mitigated risks in day-to-day activities operations products and services and are operating within risk appetite in compliance with regulatory requirements Bank policies and risk appetite.

Members of TDS Governance & Control require sufficient expertise to review and assess whether the Business is adhering to internal (risk management oversight function and audit) and regulatory requirements requests and expectations.

JOB DESCRIPTION

The Senior Analyst supports Volcker Program Governance across TD Securities (Globally) ensuring a strategic risk-based approach for alignment with Volcker Rule standards.

The position has some direct interaction with stakeholders across various functions including the Business Risk Product Control Technology and Compliance. This position will require an individual who can collaborate and engage effectively in delivering and enhancing Volcker Program procedures monitoring processes controls policies and developing and communicating a project plan/tracker and associated updates to a variety of stakeholders.

JOB ACCOUNTABILITIES

The general accountabilities of this role include but are not limited to the following:

• Provides business governance and control related support to team management within Volcker Program governance.
• Assists in the implementation of Volcker governance enhancements in support of the overall Volcker Program.
• Performs a set of governance and control work activities requiring coordination across multiple areas.
• Reviews processes and controls and connects the dots across issues and control deficiencies in order to increase standardization of processes and controls.
• Build and maintain constructive relationships with 1st and 2nd line partners as well as other key stakeholders to ensure Volcker Program governance delivery requirements are understood and met.
• Partner with stakeholders to ensure risks are adequately identified assessed and to support the development of risk mitigation strategies across the Program.
• Support Volcker program in preparing for internal / regulatory requests testing engagements exams and reviews.
• Support a coordinated approach with other business areas the broader organization and enterprise control functions
• Effectively manage ad-hoc governance risk management and control projects or tasks of varying complexities within established deadlines;

.JOB REQUIREMENTS

• Understanding of a global markets business in general including some product knowledge.
• Strong compliance and/or risk management assessment background.
• Some level of understanding of the Volcker Rule and its applicability to a global markets business and associated required metrics production and monitoring processes.
• Skillful communicator and influencer to build relationships advance decision making and effect change over time.
• Initiative-taking individual with a record of successfully assisting with implementing program enhancements.
• Ability to work with a pool of experts and ensures elevated levels of service even when the effort crosses organizational boundaries.
• Thrives in a challenging environment managing multiple deadlines and priorities.

• Strategic thinking with solid problem solving and decision-making skills.
• Skilled at connecting the dots across issues in support of solutions and development ofstrategies to effectively manage and mitigate risk.
• Excellent interpersonal skills to effectively interact at all levels of the organization coupledwith a passion to build strong working relationships and contribute to a strong team environment.
• Strong organizational/time management skills.

• Flexibility to quickly adapt to changing requirements and execute on non-routine ad-hoc deliverables.
• A positive can do attitude with a curiosity and willingness to learn and grow as well as share knowledge and experience.
• Proficiency in Microsoft applications (Excel Word PowerPoint) and Share Point.

ADDITIONAL INFORMATION

• Undergraduate degree or equivalent work experience
• Graduate degree would be an asset.

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 Senior Governance & Control Analyst provides specialized business governance and control guidance and support for a business or functional area and implements policies/processes and/or initiatives to meet business governance and control objectives. May provide complex reporting analysis testing and assessments at the functional or enterprise level and is generally a lead or SME for a given area/function.

Depth & Scope:

• SME level professional role requiring in-depth business knowledge/expertise in own domain/field of specialty and working knowledge of broader related areas
• Integrates the broader organizational context into advice and solutions within own area
• Understands a certain aspect of the industry competition and the factors that differentiate the organization
• Applies best practices to implement process product or service improvements
• Leads projects of moderately to complex risk and resource requirements; may lead end-to-end processes or functional programs
• Contributes to setting standards within area of expertise
• Solves complex problems requiring analysis of multiple variables including consultation with multiple stakeholders
• Uses advanced methods to contribute to new solutions and recommend standards against which others will operate
• Interprets guidelines standards policies and results of analysis to inform decision making at senior levels
• Works independently as a SME or lead and guides others within area of expertise

Education & Experience:

• Undergraduate degree preferred
• Broad and deep knowledge of business and risk and control environment
• 5 years of relevant experience
• Proficient knowledge of governance risk and control procedures strategies & tactics
• Proficient Knowledge of current and emerging trends
• Skill in mentoring/ coaching others
• Skill in using analytical software tools data analysis methods and reporting techniques
• Skill in using computer applications including MS Office
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively and build relationships
• Ability to work successfully as a member of a team and independently
• Ability to exercise sound judgment in making decisions
• Ability to analyze research organize and prioritize work while meeting multiple deadlines
• Ability to process and handle confidential information with discretion

Customer Accountabilities:

• Provides specialized business governance and control related advice/support to management/leadership and respective teams for area(s) of specialization
• Leads on the implementation of governance and control initiatives in support of the overall business/function strategy
• Manages a set of business governance and control work activities requiring coordination across multiple areas
• Reviews processes and controls and connects the dots across issues and control deficiencies in order to increase standardization of solutions processes and controls
• Supports/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas
• Provides subject matter expertise to projects/initiatives and participates in identifying designing and testing solutions and supporting implementation activities

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
• Conducts research projects; supports the development/delivery of materials and presentations to management or broader audience
• Adheres to enterprise frameworks or methodologies that relate to activities for own business area
• May lead work streams by acting as a project lead/SME for medium-scale projects/initiatives in accordance with project management methodologies
• 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 effective 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
• Supports team by regularly enhancing knowledge/expertise in own area and participates in knowledge transfer
• 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

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.