Job Description

TD Description

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Department Overview

TD Securities (TDS) is one of the world\'s leading wholesale banks with operations spread across 15 offices globally. It provides a full suite of products and services to corporate and institutional clients through Global Markets (GM), Corporate and Investment Banking (CIB), and Global Transaction Banking (GTB) that collaborate to provide high quality integrated financial solutions.

Governance and Control team within TD Securities (TDS) 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 TDS. We are committed to innovation with purpose, execution with excellence, and continually improving the employee value proposition. We foster a culture of diversity, inclusion, and community giving. So, if you are industrious, collaborative, innovative, and enjoy visionary thinking, joining our team could be an ideal opportunity for you.

Reporting to the AVP, Governance & Control supporting TDS Global Markets trading businesses, the Senior Manager will lead and manage various governance activities to ensure that Global Markets businesses haves adequately considered, managed, and mitigated operational risks and is operating within risk appetite. The role requires sufficient expertise to review and assess whether the Businesses are adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations.

Job Requirements

• Provide leadership to the team with information, reporting and support to ensure risks are appropriately identified, measured, managed, monitored, reported and escalated. This may also include run / maintain / build programs to ensure effective oversight, adherence to internal policies / procedures and applicable regulatory guidelines. Maintain/communicate business specific risk or compliance standards and guidelines.
• Execute and coordinate controls, testing and monitoring requirements, processes and related activities aligned to the direction provided by the various 2nd line functions (e.g., Compliance, Risk etc.) as needed. Ensure the testing plan and execution is effectively conducted based on the requirements of the 2nd line.

• Interactions with the 2nd and 3rd lines of defense by acting as a lead or primary liaison with control function partners (e.g., Risk, Compliance, Finance, Audit etc.,) and/or regulators as appropriate to assess risks, develop and implement proactive strategies, tactics and programs to effectively manage regulatory, governance and control issues for own business area / function.
• Identify and support the implementation of corrective actions and solutions to address process / control deficiencies to address audit, regulatory, and operational risk events or control breakdowns.
• Establish and document key controls - including monitoring and testing - to ensure ongoing compliance with all internal standards, regulatory and control requirements.
• Foster an environment of innovation that leads to working smarter and simpler.
• Review and provide feedback for the Change Risk Assessments that Business prepares for any material changes impacting Global Markets.
• Escalate risk issues and develop and implement action plans in a timely manner and solutions that focus on promoting a strong risk management culture, improving or control consciousness, our agility to respond to business and regulatory needs.
• Deliver training, tools and advice to support its accountabilities.
• Provide leadership, direction, advice and guidance to the teams, thus maintaining high levels of integrity, motivation and morale.

• Manage the performance of the teams, ensuring staff have clear pre-set objectives and get regular feedback on their performance.

• Establish an environment that promotes respect, diversity and inclusion for each individual employee and adhere to the policies and guidelines of the Bank including the TD Framework and Our Shared Objectives.

Qualifications/Skills/Experience:

• Highly motivated individual with a proven track record to deliver results
• Deep capital markets knowledge, with 10+ years of relevant experience
• Expert knowledge of governance, risk and control procedures, strategies & tactics
• Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion of product initiatives
• Strong communication, collaboration, and relationship management skills.
• Ability to produce professional presentation material, and skilled in the delivery of presentations to senior audiences
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Undergraduate degree preferred
• Certification(s) relating to Risk or Audit e.g., CRM, CPA is an asset.

Hours

37.5



The 1B Governance & Control team supporting TDS Global Markets is responsible for enabling the business to identify and understand the risks it faces and support the business in managing its risks appropriately in alignment with the Bank\'s strategy and risk appetite.

The Senior Manager Governance & Control will provide oversight and independent challenge to Global Markets through review, inquiry and discussion, identification of issues and opportunities and recommending actions to senior management and executive leadership. The Senior Manager Governance and Control will work with Global Markets, second- and third-line risk and control partners to assess risks across the business. The G&C Senior Manager will provide information, reporting and support to ensure operational and compliance risks are appropriately managed and adherence to internal procedures and applicable laws, rules, regulations is effective.

The primary accountabilities of the role include leading a 1B Governance & Control team to deliver and manage effective first line operational control processes. This also includes independence from the day-to-day process, to implement and maintain appropriate mitigating controls, and assess the design and operating effectiveness of those controls in the global operating environment.

The group\'s primary responsibilities include identifying and implementing solutions that focus on promoting a strong risk management culture, improving our control consciousness, our ability to respond to business and regulatory needs. The incumbent should have an advanced knowledge of the Three Lines of Defence framework, and how this aligns to the Governance & Control mandate for businesses that comprise TDS Global Markets.

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.

Business Line

TD Securities

Job Category - Primary

Securities / Wholesale Banking

Job Category(s)

Securities / Wholesale Banking

Job Family

TDS Securities

Time Type

Full Time

Employment Type

Regular

TD Bank