Risk Control and Governance Specialist

4 weeks ago

Old Toronto, Ontario, Canada TD Bank Full time
AVP, Governance & Controls

Work Location: Canada

Hours: 37

Job Description:

Department Overview: TD Securities is a leading wholesale bank with operations across 15 offices globally. It provides a full suite of products and services to corporate and institutional clients through Global Markets, Corporate and Investment Banking, and Global Transaction Banking.

Governance and Controls is a diverse group of individuals who provide critical infrastructure services that support and control the trading, investment, and corporate banking functions of TD Securities. We foster a culture of diversity, inclusion, and community giving.

The team partners with all TDS groups globally to mitigate risk and deliver world-class service to our global client base. They provide operational support and control functions across the trade lifecycle. They take great pride in ensuring controls are being continuously reviewed and updated while focusing on the customer at every point of contact.

Position Summary: The 1B Governance & Control team is responsible for enabling the business to identify and understand the risks it faces and supports the business in managing its risks appropriately in alignment with the Bank's strategy and risk appetite.

The primary accountabilities of the role include leading a global 1B Governance & Control team to deliver and manage effective first-line operational control processes. The role is also accountable for implementing and maintaining appropriate mitigating controls and assessing the design and operating effectiveness of those controls in a global operating environment.

The group's primary responsibilities include identifying and implementing solutions that focus on promoting a strong risk management culture, improving our control consciousness, our agility to respond to business and regulatory needs, and strengthening our operational leadership. The incumbent should have an advanced knowledge of the Three Lines of Defence framework and how this aligns to the Governance & Control mandate for businesses across a global wholesale bank.

  • Identify strategies to build out Governance & Business Control capabilities while owning the successful delivery of the First Line control mandate.
  • Identify opportunities to align processes and provide guidance on pan-TDS Governance & Control programs.
  • Lead the strategic and tactical direction of Governance & Control team, ensuring alignment with the TDS strategy and mandate.
  • Act as a specialist owner or representative in the definition, implementation, and execution against the Business Governance & Control strategies and priorities and ensure the controls remain appropriate and effective.
  • Serve as the Centre of Excellence in driving the governance, standards, and operating model for Business and Operational resiliency and effectively contributing to the management of operational risk by acting as an effective control function in its area of subject matter expertise.
  • Develop proactive reporting on key risk and control metrics.
  • Modernize internal controls and develop seamless processes to meet current and future regulatory expectations with speed and agility while championing and challenging operational units.
  • Design, implement, and align effective governance, risk, and control processes to support business growth while operating within our Risk Appetite.
  • In partnership with the various global teams, work to revise, implement, and produce key risk metrics across the TDS regions.
  • Establish and document key controls – including monitoring and testing – to ensure ongoing compliance with all internal regulatory and control requirements.
  • Build and foster an environment of innovation that leads to working smarter and simpler.
  • Establish productive plans for novel ideas – need to be comfortable with ambiguity and thrive on change.
  • Ensure processes utilized are effective and efficient – collaborate with impacted groups to ensure we are offering an integrated Control environment.
  • Develop and maintain necessary functional expertise to deliver expected level of service.
  • Manage the Privacy Designates for TDS.
  • Review and approve the Change Risk Assessments that Business prepares for any material change impacting Global Operations.
  • Participate in and implement enterprise programs and requirements across TDS.
  • Stay abreast of developments in markets, economy, industry, regulations, geo-political environment, and risks affecting the businesses.
  • Manage the performance of the teams, ensuring staff have clear pre-set objectives and get regular feedback on their performance.
  • Establish an environment that promotes respect, diversity, and inclusion for each individual employee and adhere to the policies and guidelines of the Bank including the TD Framework and Our Shared Objectives.
  • Embrace diversity, respect one another, and create an environment where team members look forward to coming to work each day and feel proud to work in Infrastructure.
  • Responsible for the provision of a challenging and stimulating environment, primarily through delivering quality leadership and empowering the team with the skills, tools, and resources to follow through with their ideas.

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.

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.

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development:
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

Training & Onboarding:
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Language Requirement (Quebec only): Sans Objet

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