Senior Manager, Governance & Control

Reports to: Director, Governance and Control, London, TD Securities

Direct Reports: TBD

Position Summary: (Overview of key purpose and accountability of the role)

TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to design, implement, maintain, and monitor effective internal controls and ensure business activities remain within TD Bank's, and its subsidiaries, risk appetite and comply with external regulatory requirements.

The team is responsible for ensuring timely and consistent implementation - across all TDS businesses - of all control and governance programs, initiatives, policies, and strategic business projects. The TDS G&C team acts as the primary contact for the TDS businesses, working closely with subject matter experts from each TDS business line. The team works together with the business leaders to implement TDS G&C methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring TDS representation.

Specific Responsibilities:

Reporting to the Director, London TDS G&C, the primary role of the individual is to support all TDS businesses in adherence to regulatory requirements, managing risk and having effective operational controls in place. The position is expected to support and work with all TDS businesses and TDS Control Partners to ensure appropriate policies, procedures and controls are in place and appropriately governed.

As part of the key accountabilities of the role:

• Responsible for TDS process risk and control self-assessments for core processes, related quality control testing, and testing other key controls, including regulatory compliance and anti-money laundering, as required. This includes identifying and recommending opportunities to automate, enhance or streamline controls.
• Assist with leading and building out the TDS Policy Governance and Oversight framework to comply with the enterprise policy and to further lead the ongoing oversight exercise.
• Assist with managing internal & external events and determine impact and suitable action where required.
• Assist in managing the Annual Outsourcing Refresh, Maintenance of the outsourcing register, manage any new outsourcing governance, ensure alignment of governance to regulatory standards as well as Third Party Vendor Management.
• Assist in managing the Operational Resilience self-assessment, Incident Management Protocol, Business Continuity Plans and Operational Resilience Communications Plan.
• Assist other G&C teams to ensure that the businesses remain compliant with regulatory, 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 results of control testing.

Risk Management Responsibilities:

• Responsible for identifying and reporting Operational Risk Events in accordance with policy.
• Responsible, along with all colleagues, to contribute in a positive way to TD Bank's reputation and the management of Reputational Risk. Every employee is expected and required to follow ethical practices at all times, including compliance with applicable policies, legislation and regulations and support positive interactions with TD Bank stakeholders including clients, industry bodies, industry participants, public bodies, regulators and vendors.
• Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function.

TD Policy Requirements:

It is your responsibility to demonstrate that you are fully aware of and adhere to internal TD Policies that relate to you, your business or other businesses for which you have any level of responsibility.

It is your responsibility to read, understand and comply with TD's Code of Conduct and Ethics (Code) and corresponding regulations. The Code establishes the standards that govern the way we deal with each other, our customers, shareholders, governments, regulators, suppliers, competitors, the media and the public at large. You will be notified of changes to policies in a timely manner through announcements and/or intranet updates.

You must act with integrity and due skill, care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of scrutiny.

Management should be kept fully informed at all times of all Regulatory and Compliance issues. You must deal with TD Management, Compliance, regulators and all control functions in an open and cooperative way and must disclose appropriately any information which TD Management, Compliance, regulators or control functions would reasonably expect to know.

You must ensure that you are fully aware of your management reporting lines and escalation procedures.

If you are a Manager/Supervisor, you are also responsible for ongoing and effective supervision of the employees under your direction and ensure their adherence to regulatory requirements. You will promptly report to TD Management and Compliance any violation or possible violation of such regulatory requirements identified as part of your supervisory responsibilities.

You must take reasonable steps to demonstrate that you exercise due skill, care, and diligence in managing and/or delegating your responsibilities outlined, appropriately.

It is your responsibility to be fully aware of:

• The scope of your management responsibilities.
• The TD Policies and regulatory requirements pertaining to the business/activities you are managing.
• The competence level of the staff, if any, reporting to you.
• The control limits and your ability, if any, to delegate them within your business.
• Demonstrate that you receive adequate and appropriate management reporting.

JOB REQUIREMENTS:

• Knowledge of investment banking and global markets required.
• Strong business acumen and data analytical capabilities - ability to consolidate information into clear, concise analysis in support of business decisions.
• High level of proficiency in Microsoft PowerPoint and Excel
• Relationship builder with a proven ability to partner, build confidence and influence multiple stakeholders at all levels across the organization.
• Ability to thrive in a fast-paced environment.
• Forward thinking and strategic thinking capabilities to support the business in developing and executing on governance, risk management and control solutions.
• Effective at managing multiple priorities and tasks at the same time.
• Project management expertise will be considered an asset.
• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions.
• Ability to influence at senior executive levels and motivate others, including those who do not have a direct reporting relationship.
• Strong communicator, with excellent oral, written and presentation skills.
• Organizational awareness & the ability to balance the viewpoints of various stakeholders.
• Experience in developing policy and control frameworks, writing policy and /or procedure will be considered an asset.
• Experience with Tableau or comparable data analytics and visualization tools will be considered an asset.

Education and Accreditation:

• Undergraduate degree
• Professional designation, such as CPA, CA, and/or MBA preferred.
• 5 years of relevant industry and governance, risk, internal control and/or compliance experience

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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 require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.