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.

ABOUT THE ROLE

As a key member of the TD Securities (TDS) 1B Governance & Control (G&C) team, the Manager acts as a trusted advisor and risk partner to the global Corporate & Investment Banking (CIB) businesses. This role involves providing oversight, advice, and operational support to promote resilience and reduce the risk of non-compliance with laws, regulations, and internal policies.
The role spans the entire CIB portfolio (i.e. Capital Markets, Mergers & Acquisitions, Corporate Banking, Investment Banking, etc.). It requires a strong understanding of capital markets and non-financial risk management, along with the ability to collaborate across groups in first, second, and third lines of defense. The Manager will support the consistent and timely implementation/maintenance of risk, control, and governance programs, policies, procedures, and strategic initiatives across CIB.

KEY RESPONSIBILITIES

• Serve as a central point of contact for CIB businesses on governance, risk, and control matters, providing oversight, advice, and operational support in collaboration with subject matter experts.
• Champion a strong risk culture by instilling a deep understanding and adherence to the bank’s risk appetite, risk frameworks, policies, and standards.
• Lead and support the execution of key enterprise risk programs including but not limited to Risk & Control Self-Assessments (RCSAs), Operational Risk Events (ORE) and issues management, Financial Crime Risk Management (FCRM), and Regulatory Compliance Management (RCM).
• Support the development and maintenance of the RCSA program by engaging with control owners/Business to document key risks and controls, identify any gaps, and drive remediation.
• Partner with Compliance and the Business to adhere to RCM program related policies/standards, including identifying applicable Laws, Rules, and Regulations (LRRs), assessing risk rating, mapping controls, and addressing any gaps.
• Work closely with the Business on urgent new deal initiatives that may pose reputational risks, conducting risk reviews and ensuring alignment with relevant Risk Partners and Executive Committees.
• Provide subject matter expertise on control design and effectiveness, and support the remediation of audit, regulatory, and self-identified issues. Facilitate cross-functional workshops as required to document and manage issues through to resolution.
• Support strategic initiatives, ad-hoc tasks and change projects, including but not limited to system enhancements, new business/product launches, change risk assessments, vendor onboarding, business continuity assessment, and process innovation.
• Support identification and risk assessment of End User Computing (EUC)/non-model tools/applications and assist in implementing and maintaining appropriate controls.
• Build and maintain strong relationships with stakeholders across the three lines of defense, including but not limited to CIB Businesses, Compliance, Legal, Financial Crime Risk, Operational Risk, Environmental & Social Risk, Operations, Technology, and Internal Audit.
• Provide regular program updates to key stakeholders and address ad-hoc reporting needs as they arise.
• Foster a culture of continuous improvement, collaboration, and professional excellence.
• Navigate ambiguity and shifting priorities with confidence, managing multiple deliverables across business lines.