Manager, TDS Governance and Control

at  TD Bank

JOB DESCRIPTION

Reporting to the Senior Manager, TDS G&C, the primary role of the Manager, TDS G&C is to support all TDS businesses in adherence to regulatory and enterprise requirements, managing non-financial risk, and ensuring effective controls in place.

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

• Provide leadership and oversight of a team responsible for TDS process risk and control self-assessments, related quality control testing, and testing other key controls as required. This includes identifying and recommending opportunities to automate, enhance or streamline controls.
• Direct management of team, including hiring and termination, team objective setting, training, and ongoing performance feedback processes; ensures team adheres to enterprise frameworks and methodologies and meets objectives.
• Assist with the external event scenario analysis and determine impact and suitable action where required.
• Assist other G&C teams to ensure that the businesses remain compliant with regulatory, enterprise, risk management and control expectations.
• Work with other G&C teams to proactively identify and escalate significant risk events prior to identification by risk partners.
• Lead and provide guidance with assessing Key Risk Indicators to identify opportunities to enhance the program.
• Effectively manage ad-hoc governance, risk management and control projects or tasks of varying complexities within established deadlines.
• Establish strong relationships and maintain an efficient interaction model with business partners, other G&C leads, and Control Partners such as Compliance, Risk Management, GAML, and Internal Audit.
• Support executive reporting, including meaningful data insights, on the overall status of programs.
• Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism.

JOB REQUIREMENTS

• University or Post-Graduate degree; professional accounting/auditing/risk management designation would be considered an asset.
• Experience as a people leader.
• Minimum 4 years Risk, Audit, and/or Compliance experience (financial services industry preferred).
• Knowledge of brokerage businesses preferred.
• Strong analytical/research skills & business acumen with the ability to breakdown complex subjects into manageable parts in a systematic manner & assess risk/challenge the status quo.
• Strong interpersonal and relationship management skills.
• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.
• Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
• Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
• Ability to take initiative and work independently and in a team environment.
• Confident presentation and facilitation skills.
• Ability to process and handle confidential information with discretion.

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.

• Provide leadership and oversight of a team responsible for TDS process risk and control self-assessments, related quality control testing, and testing other key controls as required. This includes identifying and recommending opportunities to automate, enhance or streamline controls.
• Direct management of team, including hiring and termination, team objective setting, training, and ongoing performance feedback processes; ensures team adheres to enterprise frameworks and methodologies and meets objectives.
• Assist with the external event scenario analysis and determine impact and suitable action where required.
• Assist other G&C teams to ensure that the businesses remain compliant with regulatory, enterprise, risk management and control expectations.
• Work with other G&C teams to proactively identify and escalate significant risk events prior to identification by risk partners.
• Lead and provide guidance with assessing Key Risk Indicators to identify opportunities to enhance the program.
• Effectively manage ad-hoc governance, risk management and control projects or tasks of varying complexities within established deadlines.
• Establish strong relationships and maintain an efficient interaction model with business partners, other G&C leads, and Control Partners such as Compliance, Risk Management, GAML, and Internal Audit.
• Support executive reporting, including meaningful data insights, on the overall status of programs.
• Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism