Manager, Business Risk Oversight - Wealth Governance and Control, Regulator

at  TD Bank

JOB DESCRIPTION

The Manager role reports to the Senior Manager, Business Risk Oversight and provides business risk oversight support as well as ad hoc business support for Wealth. In this role, the successful candidate will work closely with partners across the organization including senior executives in the various Wealth lines of business, as well as Compliance, Legal, Risk Management, AML, Products, Credit, Tax, Operations, Technology/Delivery, among others. The role’s mandate is to help promote a sustained culture of best practices through the appropriate analysis of business risk. We are looking for a self-motivated and innovative individual who excels in a fast paced, sometimes ambiguous, and high impact business team.

QUALIFICATIONS/SKILLS/EXPERIENCE

• 3-5 years’ experience in Wealth in risk management, compliance, or consultant/advisory experience
• Strong analytical, critical thinking, and proactive problem management skills.
• Excellent communication skills (oral and written) to communicate clearly at all levels, including ability to prepare executive level decks, memos and reports
• Excellent organization skills and ability to consume large volumes of information and summarize it in a meaningful way for stakeholders.
• Ability to take initiative, work independently and handle multiple tasks.
• Ability to build strong relationships and influence senior stakeholders.
• Ability to manage work under tight timelines and changing priorities.

TECHNICAL KNOWLEDGE/SKILLS

• Excellent Microsoft Excel and Powerpoint skills is a must, experience using business intelligence tools (i.e Tableau, Python, R) is considered an asset.
• Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio etc)

EDUCATION

• Completion of a University degree and/or equivalent work experience
• Professional designations in accounting, risk, law or compliance are an asset.

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. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

OVERVIEW OF THE ROLE & THE WEALTH REGULATORY AFFAIRS TEAM

The role of Manager, Business Risk Oversight will be responsible for the oversight and reporting of business risks in the Wealth Lines of Business as they relate to the Enterprise Risk Framework, and assistance in the preparation and running of the Wealth Risk Forums, as well as thought leadership on Pan-Wealth initiatives with risk implications.

The Regulatory Affairs team is made up of three pillars:

• Business Risk Oversight & Privacy
• Regulatory Change
• Tax Advisory & Oversight
• Regulatory Exam Management