Manager I, Governance

2 months ago


Toronto, Canada TD Bank Full time

**Work Location**:
Toronto, Ontario, Canada

**Hours**:
37.5

**Line of Business**:
Governance & Control

**Pay Details**:
$76,800 - $115,200 CAD

**Department Overview**

The Business Banking Governance & Control (BBG&C) team acts as the 1st Line of Defense (1B) in TD's "Three Lines of Defense" model to risk management. We work with Control Partners to ensure appropriate control frameworks are implemented within Business Banking (BB) that are designed to effectively and proactively mitigate operational and regulatory risk. We are also responsible for completing quality control testing activities to ensure appropriate compliance to regulations and business processes.

Reporting to the Manager, Business Banking G&C, the Manager I, Governance & Control will provide support for AML /Regulatory Compliance Management as an SME and manage/conduct ongoing quality testing for key controls.

In addition, the Manager I, Governance & Control will:

- Manage and assist on a set of business governance and control programs requiring coordination across multiple areas and business stakeholders in support of the overall business strategy and execute governance and control activities in accordance with established standards.
- Lead the periodic refresh of AML/RCM controls.
- Manage the intake & assessment of risk incidents / potential issues from AML/regulatory impact standpoint. Incident tracking and managing the Issues lifecycle by coordinating with various stakeholders to ensure timely escalation/reporting, remediation, and closure of these issues.
- Execute governance and control testing activities in accordance with established standards and testing programs.
- Provide specialized business governance and control related advice/support to management / leadership and respective teams for area(s) of specialization
- Interprets guidelines, standards, policies, and results of analysis to inform decision making at senior levels.
- Review processes and controls and “connect the dots” across issues and control deficiencies to increase standardization of solutions, processes and controls
- Exercise discretion in managing correspondence, information, and all matters of confidentiality.
- Keep management informed about the status / progress of testing and completion of testing within assigned timeframes
- Foster a positive work environment and contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.

**Job Requirements**
- Minimum 7+ years related experience
- Previous Audit, AML, Regulatory Compliance Testing or 1st Line Controls Testing experience with in-depth knowledge of business processes within Banking industry is considered asset
- Detail oriented and strong analytical skills, with experience in collecting and organizing information
- Strong written and verbal communication skills
- Ability to exercise sound judgement in making decisions
- Ability to work independently and collaboratively to build relationships across teams and functions
- Proficient knowledge of governance, risk and control procedures, strategies & tactics
- Effective time management, multi-tasking and organizational skills to meet tight timelines and adapt to changing priorities.
- Skill in using MS Office, with advanced proficiency in using Microsoft Excel
- A business or finance degree is an asset
- Certification(s) relating to Risk or Audit e.g. CRM, CISA, CIA, CPA is an asset

**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 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.

**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 a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

**Additional Information**:
We’re delighted that you’re considering building a career with TD. Throu



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