Manager, Governance and Controls

2 weeks ago

Toronto, Canada TD Bank Full time

402185BR

Risk Management

Toronto, ON

March 8, 2023

Company Overview

Department Overview

TD Securities’ (TDS) Governance and Control 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.
The Governance & Controls (1B) team is a first line of defense function responsible for improving the TDS control environment by establishing consistency and sustainability. We work to provide oversight and independent challenge to business partners through review, inquiry and discussion. We are responsible for supporting all relevant Operational Risk Management (ORM) programs and ensuring TDS is compliant with Corporate ORM Policies and Framework/Standards. As well our function is responsible for a broad range of risk related programs, risk analysis, reporting and support for our business and senior management team.

**Job Description**:
The primary accountability of the role is to lead the coordination, documentation and governance and the TDS Reputational Risk Management Committee (RRMC) and New Business Product Approvals (NBPA) Process: a) RRMC reviews and assesses business activities across TDS that raise significant reputational risk in accordance with Enterprise Policy, to ensure they are in line with TD’s risk appetite; and b) NBPA is the approvals process for products and services that are entirely new to TD or fundamental changes an existing product or service which introduces new uses (this includes transfers and new distribution channels).
- The role will support TDS management globally who, as Business and Risk Owners must establish, implement, and maintain procedures and controls, as appropriate. The role interacts with our global business, partners and second lines of defense in all TDS jurisdictions.

JOB ACCOUNTABILITIES
- Lead the coordination, documentation, and governance of the TDS RRMC, including framing risk issues for senior management consumption, challenging inputs and maintain records in accordance with the applicable retention requirements.
- The development of agendas with the Chair, dissemination of Committee material, advice, and guidance on procedure.
- Support the development of any submission templates assist the Committee in achieving its mandate and support its effective operation including participate and challenging the business.
- Lead the engagement of TDS Legal, Compliance, Operational Risk Management, Global Anti-Money Laundering, and 1Bs to review and opine on proposals prior to review by the Committee. Coach to ensure functional / operational problems are handled appropriately, and participate in the negotiation and resolution of complex and / or escalated issues, where necessary.
- Prepare minutes, capturing key issues raised and decisions and approvals made by the Committee.
- Develop governance tools to assist Executives in decision making.
- Build positive working relationships by effectively communicating and regularly sharing information.
- Identify potential opportunities for automation and process improvements within business operations.
- Participate fully as a member of the team, promote team effectiveness, and contribute to a positive work environment.

**Requirements**:

- Excellent oral and interpersonal skills to effectively interact at all levels coupled with a passion to build strong working relationships. Ability to present and make recommendations to Senior Management and Executives.
- Strong risk management and/ or compliance background.
- Coordinates and prioritizes multiple initiatives / good time management skills.
- Solid problem solving and decision-making ability.
- Strong background and knowledge of capital markets, their functions and processes.
- Ability to thrive in a fast paced, dynamic, detail oriented, sometimes ambiguous environment.
- An ability to grasp and translate technical concepts, think independently and a high degree of initiative required to present options in resolving issues.
- Experience in data analytics and developing business intelligence dashboards for risk-based decision making.
- The ability to work within a team environment.

Hours

37.5

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

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