Director, Governance & Control, TD Securities (US)

Work Location:
New York, New York, United States of America

Hours:
40

Line of Business:
Governance & Control

Pay Detail:
$170,000 - $200,000 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.

• Demonstrate a strong understanding and promote awareness of RCM Standards.
• Oversee RCM governance activities (e.g., Regulatory Change, RCM Assessments, Monitoring and Testing, etc.) across the TDS business.
• Provide guidance to the Line of Business (LOB) and on RCM requirements to meet the RCM Standards.
• Build and maintain constructive relationships with TDS and Compliance partners as well as other key stakeholders to ensure TDS RCM Program requirements are understood and met.
• Identify, prioritize, action, and escalate (as required) key RCM governance issues and instances of non-compliance with RCM Standards within the Business to senior executives.
• Lead, manage and oversee the semi-annual Regulatory Compliance Management Risk Assessment (RCMRA), coordinating required activities and input from TDS 1A partners, submissions to Compliance, and overseeing completion of any related action plans.
• Maintain a comprehensive understanding and be the key contact on 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.
• Have oversight of TDS RCM reporting as required.
• Participate in TDS and enterprise RCM committees, meetings, or programs.
• Respond to all requests in a timely manner.
• Recognize emerging TDS RCM trends, issues, and opportunities, and recommend actions to management.
• Provide specialized TDS RCM governance and control related advice and strategic direction to support management, TDS partners, and other RCM stakeholders.
• Fully participate as a member of the team, promoting team effectiveness and contributing to a positive work environment.

• University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.
• Solid knowledge of compliance governance, compliance management practices, enterprise compliance policy, standards & strategy.
• Minimum 8 years of Compliance, Risk, and/or Audit experience (financial services industry preferred).
• Experience as a people leader focused on a strong coaching culture, talent development and employee experience through recognition.
• 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.

• Fosters an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct
• Evaluates business strategy and activities against risk appetite and provide management and stakeholders with sufficient and timely insight into the business and industry landscape
• Partners 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
• Supports the Business in the design, implementation, and sustainment of controls within key processes and procedures
• Delivers effective control testing and monitoring, documentation of results, and tracking execution of action plans to resolution
• In compliance with Business Change Review (BCR) Program for change initiatives delivered as projects, participates (as appropriate) in key project activities and oversight/governance committees
• In partnership with the 2nd line and oversight functions, incumbent will 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
• Enables proactive, data-driven, risk-based decision making
• Partners with Business to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews
• Leads all aspects of a highly complex and diverse governance and control function for an area of significant risk, complexity or scope usually involving medium to long term planning
• Ensures a coordinated approach with other business areas, the broader organization and enterprise control functions
• Leads and coordinates the overall discipline and strategy for the respective areas of Business Governance and Control while aligning to the enterprise standard methodologies
• Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
• 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
• Responsible to explore and deliver leading edge innovation and process improvements and build a 'learning' organization through leadership, coaching and mentorship
• Builds and cultivates an environment of innovation that leads to working smarter and simpler
• Instills an attitude of critical thinking, risk management and understanding the needs of TDS's 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

• Undergraduate degree preferred
• 10 + years related experience required
• Knowledge of the regulatory environment and requirements
• Build strong relationship with business partners and provide challenge and push back as needed
• Proven ability to successfully lead change and manage effectively in a matrixed environment
• Skillful communicator and influencer to build relationships, advance decision making, and effect change over time
• Highly motivated individual with a track record successfully implementing large scale globally sourced programs with superior results.
• Ability to work with a pool of experts and ensure high levels of service even when the effort crosses organizational boundaries
• Thrives in a fast-paced environment, managing multiple deadlines and priorities