Compliance Risk Management Leader
2 weeks ago
TD Securities Corporate and Investment Banking is a leading provider of financial advisory and capital-raising services to corporate and institutional clients globally.
Position Overview:
The Investment Banking group is a demanding environment that requires a highly skilled and efficient individual who works well in a team, can manage multiple priorities at the same time, and thrives in a fast-paced and intense environment.
In this first line of defense (1A) role, the Compliance VP will work as a key member of the Business Management Team to establish a strong risk and control environment, supported by an effective supervisory program for the Corporate and Investment Banking business.
- Collaborate with Corporate and Investment Banking front-line professionals to ensure the business has adequately considered, managed, and mitigated risks.
- Develop effective partnerships with groups that support Corporate and Investment Banking.
- Perform delegated business supervision and risk management activities as part of the Center of Excellence.
- Implement preventive controls strategically.
- Participate in the design and implementation of control testing.
- Present and deliver training with confidence.
- Prepare dashboard reporting and business analysis.
- Serve as a leader and role model for junior supervision resources on the team.
- Promote a culture of compliance and respect for the bank's risk appetite.
Required Skills and Qualifications:
- Experience in capital markets, compliance, audit, risk, control, and governance.
- Familiarity with the Canadian and US capital markets regulatory landscape.
- Undergraduate Degree, CPA, MBA, or other post-undergraduate education is preferred.
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