15 Month FTC Manager, Conduct Review Program, Governance & Controls

Work Location:

Hours:

Line of Business:

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:

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:

This role reports locally into the Regional COO with functional accountability into the Senior Manager Culture and Conduct Governance and Controls Office

The Manager Conduct Review Programs TD Securities works with regional leadership (Ireland and United Kingdom) 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.

The role will support local committee meetings to proactively monitor identify manage and mitigate conduct and culture risk subject to local regulatory expectations. The role is accountable for managing an end-to-end closed loop process to manage the Conduct Risk Program for Ireland and United Kingdom which includes identifying themes and trends in the region that could potentially lead to Conduct issues and work collectively with stakeholders to mitigate the risk of such issues. The role will also have the opportunity to lead global initiatives to ensure a consistent approach to how the dealer manages and mitigates conduct and culture risk.

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 Ireland and the United Kingdom)
• Assist in executing annual strategic plans for the conduct and culture programs
• 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 TDS Conduct Risk Management Framework; Examples: conduct risk register conduct risk committee mandates
• Support the Business in 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 Senior Managers and Certification Regime (SMCR) and Senior Executive Accountability Regime (SEAR).
• 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
• Provide advice on proactive conduct risk opportunities

Reporting

• Support the review aggregation and analysis of 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 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 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:

• 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
• 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
• Strong communicator with excellent oral written and presentation skills with the ability to work confidently when dealing with senior management
• Strong change management skills
• Strong organizational and time management skills
• Experience in Conduct Culture Compliance and/or Operational Risk
• Familiarity with regulatory landscape in the region (FCA PRA CBoI)

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 strive to make every interaction product and experience remarkably human and refreshingly simple for 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 foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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.