Risk and Control Specialist
4 weeks ago
Job Summary
The Toronto-Dominion Bank (Canada) is seeking a highly skilled Risk and Control Specialist to join its Corporate and Investment Banking team. As a key member of the Business Management Team, you will play a critical role in establishing a strong risk and control environment, supported by an effective supervisory program for the Corporate and Investment Banking business.
Key Responsibilities
- Work closely with 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.
- Develop effective partnerships with groups that support Corporate and Investment Banking, including 1B, Compliance, Legal, Audit, Risk, and Technology.
- Perform delegated business supervision and risk management activities as part of the Center of Excellence.
- Think strategically to expand the implementation of preventive controls and reduce overall reliance on detective controls.
- Participate in the design and implementation of control testing within key processes to meet the firm's governance requirements.
- Provide support with audit and testing engagements from regulators and second- and third-line stakeholders.
- Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency through effective use of tools and technology.
- Demonstrate confidence while presenting regular and ad-hoc presentations, supervisory dashboards, and delivering training and completing conduct escalation conversations.
- Prepare dashboard reporting and business analysis and recommend sound business decisions and solutions based on the analysis completed.
- Be a leader and role model for junior supervision resources on the team.
- Think creatively to address unique or ambiguous situations and find solutions to complex problems.
- Promote a culture of compliance, good governance, and respect for the bank's risk appetite.
Requirements
- FINRA Series 24 and 79 Registered, or commitment to obtain within 6 months.
- Experience in capital markets, compliance, audit, risk, control, and governance or a related field.
- Familiarity with the Canadian and US capital markets regulatory landscape.
- Undergraduate Degree, CPA, MBA, or other post-undergraduate education is preferred.
About Us
The Toronto-Dominion Bank (Canada) offers a wide range of capital markets products and services to corporate, government, and institutional clients. 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.
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