Associate, Supervision and Governance, Business

5 months ago

Toronto, Canada TD Bank Full time

**Associate, Supervision and Governance, Business Management, CIB**:

- 432298BR

**Job Category - Primary**
- Securities / Wholesale Banking

**Work Location**
- TD Centre - TD Tower - 66 Wellington Street West

**Employment Type**
- Regular

**City**
- Toronto

**Time Type**
- Full Time

**Province/State**
- Ontario

**Hours**
- 37.5

**Workplace Model**
- Hybrid

**Pay Details**

**Department Overview**
- TD Securities Corporate and Investment Banking provides a full range of financial advisory and capital-raising services to corporate and institutional clients globally. Our Relationship Managers work closely with our clients to understand their needs and bring them unique solutions to complex issues. The department is organized into areas of expertise by product, region, and industry.
- The Business Management Team within Corporate & Investment Banking is responsible for providing ongoing strategic and operational support, as well as supervisory oversight, to front-line Investment Bankers and Senior Executives within the department, such that their focus can remain on providing optimal client coverage and execution. The team liaises with various TDS and TDBG support partners to advance the needs of the department as well as assist with rolling out any firm
- or bank-wide initiatives.

**Job Details**
- The Investment Banking group is a demanding environment and requires a self-starting, efficient person who works extremely well in a team, can manage multiple priorities at the same time, and thrives in a fast-paced, intense and exciting environment.- **Key Accountabilities**:

- Supervision execution lead for Corporate and Investment Banking front line professionals to ensure the business has adequately considered, managed, and mitigated risks in day-to-day activities, operations, products, and services, and is operating within risk appetite.
- Manage effective partnerships with the groups that support Corporate and Investment Banking - including 1B, Compliance, Legal, Audit, Risk and Technology - as well as fostering strong working relationships with the Group Business Managers, Industry Teams, Product Teams, and Regional Offices.
- As part of Center of Excellence, perform delegated business supervision and risk management activities.
- Complete electronic communications reviews to meet business and firm surveillance requirements.
- Participate in the design, implementation, and testing of controls within key processes and procedures, including testing of those controls to meet the firm's governance requirements.
- Collect and consolidate metrics on varying frequencies and deploy reporting tools to produce dashboards for supervisory and oversight committees
- Assist in the delivery of various trainings and conduct escalation processes.
- Provide support with audit and testing engagements from regulators and second and third-line stakeholders, including providing remedial support for any findings.
- Support continuous improvement towards a strong and mature business governance and control environment.
- Maintain front-line procedures on a continual basis.
- Performs additional duties and participates in special projects, as required
- Foster an effective, transparent culture of risk awareness
- Work well in a team but also be able to prioritize and manage own workload to deliver quality results and meet assigned timelines
- Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency

**Job Requirements**
- FINRA Series 24 and Series79 registered, or commitment to obtain within 6 months.
- Experience in capital markets, compliance, audit, risk, control and governance or a related field
- Be familiar with the Canadian and US capital markets regulatory landscape
- Undergraduate Degree, CPA, MBA or other post-undergraduate education is preferred

**Other Qualifications/Skills**:

- Demonstrated ability to take a risk-based approach to decision making
- Act with Due Skill, Care and Diligence
- Understanding of the bank's three lines of defense model
- Ability to work and adapt in a fast-paced, dynamic environment
- Experience with Excel, PowerPoint, Word, Visio, MS Teams
- Experience with Behavox
- Experience with JIRA and Confluence
- Strong analytical, problem-solving and critical thinking skills
- Strong interpersonal and written/verbal communication skills.
- Ability to balance multiple, simultaneous priorities in a fast moving and demanding environment.
- Self-starter with the aptitude to work independently and/or in a team setting
- Adept technical skills and/or the ability to quickly navigate new systems
- An ability to communicate simply, directly, succinctly
- Takes ownership and accountability for the quality of their work
- Has strong attention to detail
- Enjoys working in a collaborative team environment

**Additional Information**
- #LI-Hybrid

**Company Overview**

**Our Values**
At TD we're guided by our purpose is to enrich the lives of our customer

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