JOB DESCRIPTION:

The Wealth Shared Services, Governance & Control (WSS G&C) team is responsible for managing the enterprise regulatory compliance and operational risk programs across the TD Wealth segment. The team enables multiple Wealth business units through the timely and consistent implementation of control and governance programs, initiatives, policies, and standards.

JOB DESCRIPTION

Reporting to the Senior Manager, G&C Wealth Branch Oversight and Controls Testing, the Manager will be responsible for delivering an effective control testing program. The role’s mandate anchors back to enterprise Regulatory Compliance Management (RCM) standards and Operational Risk Management (ORM) requirements. Aligning to the Wealth Shared Services, Strategic Priorities, is a critical component to the role’s mandate.
The Manager will support the FP, PIA, PIC and Wealth Insurance Services Inc (WISI) businesses by providing key risk management, regulatory and control guidance, and oversight. This role is a Business, Risk and Regulatory subject matter expert, which will leverage Wealth Governance, Risk and Control programs and processes to provide this guidance and oversight.

JOB REQUIREMENTS

• 5-7+ years’ experience in 1B or 2A roles related to Governance, Risk and Controls
• Organizational awareness and sensitivity
• Deep industry and business knowledge with respect to the PWM LoB preferred.
• Knowledge related to testing and controls, be a critical thinker and understand how to identify and document controls.
• Strong written and verbal communication skills, including writing concise business messages, controls documentation, creating impactful presentations, and presenting analysis/results to management and senior executives.
• Proven ability to work with and build strong relationships with stakeholders and colleagues.
• Independent thinker with exceptional analytical skills and strong business acumen
• High degree of personal initiative, with strong influencing and leadership skills
• Undergraduate degree: internal auditing or risk management designation and training would be beneficial.
• Proficiency in Microsoft Office applications, Kyndryl and Croesus will be beneficial.

WHO WE ARE:

TD is one of the world’s leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

As part of the key accountabilities of the role, the Manager will:

• Facilitate effective execution in developing and maintaining a strong control environment.
• Support the Field Risk Managers, Region Heads, Branch Managers and LOB Leadership as they execute their roles to effectively managing their regulatory, operational, and reputational risk in the FP, PIA, PIC and WISI businesses by providing pragmatic recommendations on control design and implementation, consistent risk and control reporting, effective control visualization dashboards and automated monitoring tools with corresponding risk and control insights.
• Support the business with the design and implementation of pragmatic, effective and efficient controls within key processes and procedures, including during business strategy and regulatory change initiatives and projects.
• Lead large and complex initiatives to test the design and operational effectiveness of operational and regulatory controls and develop strategies to assist in remediation of any gaps identified.
• Provide leadership team with information, reporting and support to assist in identification of ineffective controls which require attention.
• Provide Senior Manager G&C Wealth Branch Oversight and Controls Testing with executive level progress reporting which includes, insights, observations, trackers, effective/ineffective control status and challenges.
• Drive a strong governance and internal control environment and perform effective challenge by executing on enterprise control and governance testing frameworks.
• Proactively identify opportunities to strengthen and improve testing and controls.
• Promote awareness, understanding and ownership of operational/ regulatory risk, key risk drivers and controls within Wealth.
• Strong written and verbal communication skills, including writing concise business messages regarding the control environment, creating impactful presentations, and presenting analysis/results to management and senior executives.
• Lead discussions with Wealth Compliance and Wealth Colleagues when addressing observations and path forward for resolution/remediation.
• Maintain line of sight into regulatory environment/landscape to determine whether controls are required and/or require enhancements.