Governance and Control Specialist

3 weeks ago

Toronto, Canada TD Bank Full time

**TD Description**

Stay current and competitive. Carve out a career for yourself. Grow with us.

**Department Overview**

The TECE Governance and Control team supporting ED&A provides is the assurance function accountable to ensure the ED&A businesses have adequately considered, managed, and mitigated the risks in day-to-day activities, operations, products, and services, and is operating within risk appetite. This function has sufficient expertise to review and assess whether ED&A businesses are adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations.

Reporting to the Senior Manager, TECE Governance and Control supporting ED&A will lead and manage various governance activities to ensure Enterprise Data & Analytic (ED&A) business has adequately considered, managed, and mitigated operational risks and is operating within risk appetite. The role requires sufficient expertise to review and assess whether the 1A is adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations. The Governance and Control Specialist will provide oversight and independent challenge to the ED&A businesses through review, inquiry and discussion, identification of issues and opportunities and recommending actions to senior management and executive leadership. The Governance and Control Specialist will work with ED&A business partners (management) and second
- and third-line risk and control partners to assess risks and controls across the ED&A businesses. The G&C Manager will provide information, reporting and support to ensure operational and compliance risks are appropriately managed and adherence to internal procedures and applicable regulatory guidelines is effective.

**As part of the key accountabilities of the role, the Governance and Control Specialist/ Privacy Designate will**:

- In alignment with TD Culture Framework, foster an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct. Evaluate business strategy and activities against risk appetite and provide management and stakeholders with sufficient and timely insight into the business and industry landscape.
- In partnership with ED&A (1A), and in compliance with applicable Frameworks: Ensure ED&A (1A) has adequately identified, assessed, and developed risk mitigation strategies to manage current and emerging risk exposures across all risk categories and all business areas.
- Support ED&A (1A) in the design, implementation, and sustainment of controls within key processes and procedures. Effect control testing and monitoring, documentation of results, and tracking execution of action plans to resolution.
- In partnership with ED&A (1A), manage and complete various annual Assessments (i.e., Bill 64 gap assessments, Conduct Risk Assessments, FRM Policy Compliance, Enterprise E&S Risk Policy etc.,)
- In compliance with the Change Governance Framework & Standard: Review intake of changes to ensure appropriate methodology is applied. Review and approve risk assessments (as applicable), ensuring appropriate risk management and oversight function partners are engaged. Review reporting to assess risk and exposure to the businesses they support (as applicable).
- Support Post Implementation Reviews (PIR) as required. In compliance with Business Change Review (BCR) Program for change initiatives delivered as projects, participate (as appropriate) in key project activities and oversight/governance committees.
- In partnership with the 2nd line and oversight functions: Provide advice and facilitate discussions with management and stakeholders on relevant internal and external considerations; Collaborate with ED&A (1A) to maintain processes to expediently resolve incidents, identify and track issues to remediation; and develop processes to create timely, complete and accurate reporting at an appropriate frequency and granularity to inform on areas of increasing risk, and enable proactive, data-driven, risk-based decision making.
- Partner with ED&A (1A) to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews.
- Establish strong relationships and maintain an efficient interaction model with business partners, other G&C leads, and Control Partners such as Compliance, Canadian Privacy Office, Legal, Privacy and Internal Audit
- Strive to continuously improve and simplify the governance process

**Job Requirements**
- Relationship builder with a proven ability to partner, build confidence and influence multiple stakeholders at all levels across the organization
- Strong business acumen and analytical capabilities - ability to consolidate information into clear, concise analysis in support of business decisions
- Forward thinking and strategic thinking capabilities in order to support the business in developing and executing on governance, risk management and control soluti

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