Avp, Global Markets, Governance

2 weeks ago

Toronto, Canada TD Bank Full time

**AVP, Global Markets, Governance & Controls, TDS**:

- 416827BR

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

**Work Location**
- TD Centre - East - 222 Bay Street

**Employment Type**
- Regular

**City**
- Toronto

**Time Type**
- Full Time

**Province/State**
- Ontario

**Hours**
- 37.5

**Workplace Model**
- Hybrid

**Pay Details**

**Department Overview**
- 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 6,500 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 solutions. In 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.
- The Governance and Controls function for TD Securities supports the office of the SVP, COO & CFO, TD Securities and supports the establishing of appropriate pan-dealer governance, policies and standards. The team supports the broader business to understand the risk it faces and effectively manage that risk, aligning with the Bank's risk appetite and business strategy.
- Governance and Controls manages the risk and governance programs associated with the Global Markets businesses. Governance and Control programs incorporate, operational risk, model risk, algo risk, change control, conduct risk, data control and governance and regulatory program oversight.
- The AVP, Global Markets, Governance & Controls, TD Securities will have ultimate accountability for leading the first line of defense team for Global Markets, ensuring the team of 1B professionals works closely with other front line groups and key 2nd lines of defense functions (The Control Room, Regulatory Compliance, Operational Risk, Conduct Risk) to put in place a program to identify, assess, and manage key risks inherent in Global Markets.

**Job Details**
- This position reports to the Vice President, Governance & Controls, TD Securities, and acts as a senior representative of the TD Securities' 1B team, with the responsibility to lead the Global Markets oversight for TD Securities, in alignment with emerging global themes and trends.
- The AVP, Global Markets, Governance & Controls, TD Securities, will lead a team and be accountable for:

- Managing the risk and governance programs associated with the Global Markets businesses. Governance and Control programs incorporate, operational risk, model risk, algo risk, change control, conduct risk, data control and governance and regulatory program oversight.
- In partnership with second line and oversight functions, providing advice and facilitates discussions with management and stakeholders on relevant internal and external considerations, including collaborating with 1A to maintain processes to expediently resolve incidents, identify and track issues to remediation; develop processes to create timely, complete and accurate reporting; in partnership with 1A proactively prepare for internal/regulatory request, testing engagements, exams and reviews
- Responsible for leading the first line of defense team for Global Markets, ensuring the team of 1B professionals works closely with other front line groups and key 2nd lines of defense functions (The Control Room, Regulatory Compliance, Operational Risk, Conduct Risk) to oversee the program to identify, assess, and managing key risks inherent in Global Markets.
- Share forward-looking risk guidance to enable long-term strategic business objectives
- Providing governance, oversight and risk management thought leadership on procedure and process design/updates across TDS in keeping with enterprise best practices
- Providing strategic guidance to the Governance and Control function to enable continued success in a rapidly growing risk and control environment.
- Monitoring compliance to enterprise conduct and culture policies, guidelines and frameworks, ensuring industry and regional regulatory requirements are met and/ or exceeded
- Representing TDS and the Governance and Controls teams at committees and liaise with the enterprise risk and control functions to align and support on strategy with TDS impacts.

**Job Requirements**
- Deep understanding of the risk and control space, enterprise, industry and regulatory standards shaping the landscape
- Relevant industry knowledge around regulatory requirements, governance and standards
- Strong People Leadership skills with demonstrated experience in leading high performing, diverse t

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