Work Location:
Lewiston, Maine, United States of America
Hours:
40
Line of Business:
Personal & Commercial Banking
Pay Detail:
$68,640 - $112,320 USD
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.
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Job Description:
The Business Line Liaison (BLL) supports the execution of all risk and governance activities within their designated line of business area of responsibility (LOB). The BLL serves as the point of contact for key risk and governance activities, and coordinates actions, responses, and documentation for the business.
Depth & Scope:
- Acts as the point of contact for the Line of Business areas of responsibility (LOB) for any potential self-identified findings and document the control breakdown and root cause & communicate to relevant parties, taking the lead on low and some medium findings, and potentially drafting for some high risk findings
- Acts as the point of contact for the SSG&C Audit/Exams and remediation team for any key information, actions, responses, or remediation required by the LOB; Coordinates with the LOB to fulfill these requests, or for other tasks as required
- Draft action plans for all issues and findings within LOB
- Coordinates all closure activities to ensure all action plan deliverables are met, and document the remediation implemented by the business, and provide any necessary guidance or conduct any necessary activities for the LOB.
- Prepares all closure packages or required templates for all findings and issues in the LOB, get LOB approval, and submit to 1B SSGC
- Acts as the point of contact for the LOB for any potential incidents/events and notify or engage the Operational Risk and Framework Execution pillars of the 1-B (SSG&C) as required.
- Coordinates the fulfillment of any requests by an Examiner, Auditor, or other requestor, working with the LOB, drafting commentary or other deliverables as required
- Acts as the point of contact for any potential issues from exams, reviews, or other testing, to ensure LOB management is aware, and participate in the information gathering and discussions on the finding
- Supports the LOB BCP, ensure the plan is up to date, in line with the risk appetite, and all annual activities are completed as required
- Assists the LOB in identifying process impacts and change requirements related to regulatory projects managed by the Compliance Regulatory Office
- Acts as the point of contact for the 1B QC testing team, and provide responses to address 1B QC testing questions, remediation, or other actions as required, coordinating those responses with the LOB. Including but not limited to Compliance, ORM, and RCR Credit findings.
- Serves as the primary representation at the QC Weekly status report meeting for LOB to discuss all failures, and determine if an issue needs to be opened
- Coordinates the completion of any required change management forms (including the CRA, PIA, and DIA), and support the change management initiatives as needed
- Supports changes for Policies and Procedures as required, in partnership with the Business Management Group (BMG)
- Supports other processes or deliverables for SSG&C on behalf of the business line - including but not limited to: EUCs, Models, and Vendor Management as needed
Education & Experience:
- Bachelors Degree and/or equivalent experience
- 5 plus years Business Line Experience in Core Bank Operations
- Strong Understanding of Risk & Controls
- Experience drafting Risk & Control documentation including, but not limited to: Issue responses, action plans, issue summaries, or other audit or regulator commentary
- Project management experience to manage multiple requests and projects
- Strong communication skills, both written and verbal, including with executive management
Preferred Qualifications:
- Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills
- Advanced experience with Excel (Power Queries, Pivot Table)
- Experience with visualization tools like Tableau / Power BI
- Familiarity with designing, developing, and managing in Microsoft Power Apps platform
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.
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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. 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.
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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
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
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.