Senior Manager, Governance & Control

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Hours:

Line of Business:

Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

The TDS Governance and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, managed, and mitigated risks in day-to-day activities, operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite.

Members of TDS Governance & Control require sufficient expertise to review and assess whether the Business is adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations.

Job Description

Reporting to the AVP & Managing Director, Governance and Controls, the Senior Manager and Director supports Change Governance Programs across TD Securities (Globally), ensuring a strategic, risk-based approach for alignment with Enterprise Change Governance Standards.

The position has a high level of direct interaction with Executive Sponsors, the business, Change Delivery Teams, and Risk and Control partners. This position will require an individual who can 'think outside of the box' in terms of developing, communicating, sharing, implementing and improving project methodology and governance processes, controls and tools.

Job Accountabilities

The general accountabilities of this role include but are not limited to the following:

• Partner with the Business, Risk and Change Delivery to manage the New Business and Product Approval process.

• Partner with the Business, Risk and Change Delivery to approve Change Risk Assessments.

• Build and maintain relationships with 1st and 2nd line partners as well as other key stakeholders to ensure TDS changes and associated risks are understood

• Provide coaching, mentorship and guidance to practitioners, business executives within the area of Change Governance.

• Contribute to team development by sharing knowledge and experiences, leveraging best practices.

• Maintain a comprehensive understanding of existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.

• Foster an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct.

• Evaluate business strategy and activities against risk appetite and provide management and stakeholders with sufficient and timely insight into the business and industry landscape.

• Partner with Business to ensure risks are adequately identified, assessed, and develop risk mitigation strategies to manage current and emerging risk exposures across all risk categories and all business areas.

• Accountability to establish, deliver and support governance processes across TD Securities.

• Support the Business in the design, implementation, and sustainment of controls within key processes and procedures.

• In partnership with the 2nd line and oversight functions, provide advice and facilitate discussions with management and stakeholders on relevant internal and external events and collaborate to expediently resolve incidents, identify, and track issues to remediation and develop processes to create timely, complete, and accurate reporting.

• Enable initiative-taking, data-driven, risk-based decision making.

• Partner with Business to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews.

• Ability to influence change and develop strong interpersonal relationships with the business, team members and key partners.

• Ensuring a coordinated approach with other business areas, the broader organization and enterprise control functions

• Strategic partner to leadership team on the management of the function, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management / enterprise areas.

• You are responsible to explore and deliver leading edge innovation, process improvements, and build a 'learning' organization through leadership, coaching and mentorship.

• Build and cultivate an environment of innovation that leads to working smarter and simpler.

• Instill an attitude of critical thinking, risk management and understanding the needs of TD Securities colleagues.

• 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.

Job Requirements

• Understanding of Wholesale banking business. Transaction Banking experience required

• Strong Risk, Controls, or compliance background.

• Proven ability to successfully lead change and manage effectively in matrixed environment.

• Skillful communicator and influencer to build relationships, advance decision making, and effect change

• Strong writer and verbal communication skills

• High level of proficiency in Microsoft Powerpoint and Excel

• Initiative-taking individual with a record of successfully implementing large scale globally sourced programs with superior results.

• Ability to work with a pool of experts and ensures elevated levels of service even when the effort crosses organizational boundaries.

• Thrives in a challenging environment, managing multiple deadlines and priorities.

• Strategic thinking with solid problem solving and decision-making skills.

• Skilled at “connecting the dots” across issues in support of solutions and development of strategies to effectively manage and mitigate risk.

• Excellent interpersonal skills to effectively interact at all levels of the organization, coupled with a passion to build strong working relationships and contribute to a strong team environment.

• Strong organizational/time management skills.

• Flexibility to quickly adapt to changing requirements and execute on non-routine ad-hoc requests.

• A positive "can do" attitude with a curiosity and willingness to learn and grow, as well as share knowledge and experience.

• Experience with Transformation , Change, and Large Scale Technology projects is a plus

• Proficiency in Microsoft applications (Excel, Word, PowerPoint), and Share Point.

Additional Information

• Undergraduate degree

• Graduate degree would be 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 strive to make every interaction, product and experience remarkably human and refreshingly simple.  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. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

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. Learn more

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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.
We look forward to hearing from you!

Language Requirement (Quebec only):