Work Location:
Charlotte, North Carolina, United States of America
Hours:
40
Line of Business:
Governance & Control
Pay Detail:
$110,760 - $166,400 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 Senior Governance & Control Specialist is the leading expert for a significant and/or complex governance and control function, primarily interfacing with executive and/or functional stakeholders. Provides direction and guidance to team and/or management and acts as overall leader on key control initiatives. The individual in this role will be accountable for supporting the AMCB 1B Financial Crimes COE in management and material production for 1st line financial crimes forums/councils, escalations to 2nd line committees and supporting the team via ongoing routines. The individual will also support the other Monitoring teams covering Issues Oversight, Third-Party/Technology/Model Oversight and Data and Reporting as needed.
Depth & Scope:
- Recognized as leading expert within the company and requires significant in-depth and/or breadth of business knowledge and expertise in a complex field and knowledge of broader related areas
- Senior specialist providing advisory services to executives, business segment leaders and governs the requirements for own work
- Integrates knowledge of the enterprise function's or business segment's overarching strategy in leading program design, policy formulation or operating standards within one or more areas of expertise
- Anticipates emerging business trends and regulatory/risk issues as a basis for recommending large-scale product, technical, functional or operations improvements
- Serves as a source of expert advice to senior management in field of specialty
- Advises on execution strategy and leads the development and deployment of functional programs or initiatives within their own field or across multiple specialties
- Works within general policies and industry guidelines
Education & Experience:
- Undergraduate degree preferred
- 10+ years of relevant experience
- Deep industry and business knowledge and expertise on risk and control functions
- Expert knowledge of governance, risk and control procedures, strategies & tactics
- Knowledge of current and emerging competitor and market trends
- Ability to establish goals and objectives that support delivery execution for multiple and/or scaled teams
- Ability to contribute to strategic direction of the function and provide advice to the team and all levels of leadership
- Ability to support forecasting of initiatives and demand in order to help develop annual strategic plan
- Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion of product initiatives
- Skill in mentoring, coaching and performance management
- Skill in using analytical software tools, data analysis methods and reporting techniques
- Skill in using computer applications including MS Office and industry standards
- Ability to communicate effectively in both oral and written form
- Ability to work collaboratively and build relationships across teams and functions
- Ability to work successfully as a member of a team and independently
- Ability to exercise sound judgement in making decisions
- Ability to analyze, organize and prioritize work while meeting multiple deadlines
Preferred Qualifications
- Experience in AML, Sanctions or ABAC governance reporting and routines.
- Experience serving as secretary for forums, councils and/or committees.
- Experience in AML, Sanctions and ABAC risk and control governance frameworks.
- Experience working with stakeholders across all lines of defense to perform compliance/risk reporting and routines.
- Strong project management skills.
Customer Accountabilities:
- Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy
- Develops and documents a comprehensive inventory of processes and controls with clearly defined owners and roles and responsibilities for each process and control
- Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations
- Reviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls
- Leads the integrated execution of policies/procedures/changes across multiple functional areas
- Provides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME, identifies risk/provides guidance for complex situations and participates in designing, testing, and implementation of solutions
- Acts as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space
Shareholder Accountabilities:
- Ensures programs/policies/practices are well-managed, meet business needs/priorities, and comply with internal/external requirements
- Exercises discretion in managing communication/correspondence, information and all matters of confidentiality
- Leads research projects; supports the development/delivery of materials and presentations to management or broader audience
- Conducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices
- Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions
- Manages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
- Protects the interests of the organization - identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary
- Maintains a culture of risk management and control, supported by processes in alignment with risk appetite
- Is knowledgeable of and complies with Bank Code of Conduct
Employee/Team Accountabilities:
- Participates as a member of the team, supports a positive work environment and ensures timely communication
- Provides leadership as a SME and participates in knowledge transfer within the team/business unit
- Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
- Keeps others informed about the status/progress of projects
- Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
- Contributes to a fair, positive and equitable environment
- Acts as a brand ambassador for your business area/function and the Bank
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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.