Work Location:

Canada

Hours:

37.5

Line of Business:

Governance & Control

Pay Details:

We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Job Description:

Experienced governance, risk and control professional who proactively supports a diverse portfolio of risk-related programs to effectively manage and mitigate operational/ regulatory risk and drive a strong governance and internal control environment. The role will facilitate risk assessments, IT Audit and Exam support, provide insightful advice and independent challenge, and encourage transparent discussion of operational risk issues fostering an effective transparent risk culture.

Your ability to analyze, organize and prioritize will be foundational to your success in the role. You will act as a subject matter expert and develop and maintain a robust understanding of governance and control requirements. Your strong ability to work with multiple stakeholders and form positive working relationships will be key.
Reporting to the Senior Manager, Governance, Risk and Control, accountabilities include ensuring effective execution of the enterprise 1B Mandate and Standard across TD Securities Technology functions, with specific focus on the Risk Management organization. As a key member of the team, you will:

• Execute, lead, and support initiatives to identify and assess risks and control, develop strategies to remediate gaps identified, and implement processes to effectively manage and mitigate risk.

• Facilitate Audit / Regulatory walkthroughs with TD Securities IT stakeholders and internal/external auditors.

• Maintaining up to date request tracker and retention/organization of all audit/exam related artifacts in JIRA.

• Performing 1B review/challenge of LOB pre-exam, initial/planning, and fieldwork request responses to ensure accuracy/completeness, providing feedback to response owners and re-reviewing updated responses.

• Drive a strong governance and internal control environment and perform effective challenge by executing on enterprise control and governance frameworks, including (but not limited to) pRCSA standards, regulatory compliance policies and standards, privacy policies and technology standards.

• Proactively identify opportunities to strengthen and improve processes and controls, and ensure the Corporate Functions operate within the Bank's risk appetite.

• Promote awareness, understanding and ownership of operational/ regulatory risk, key risk drivers and mitigation strategies within TD Securities teams.

• Identify, size, and implement operational and continuous improvements to business processes to maximize efficiencies and scale/grow capabilities and teams to meet business needs.

• Provide leadership team with information, reporting and support to ensure operational risks are appropriately managed and adherence to internal policies and procedures is effective.

• Maintain an understanding of existing and emerging regulatory requirements, operational processes, inherent risks, and ORM policies & practices to provide tailored advice and counsel to the Corporate Functions

• As a trusted advisor to internal business partners, recognize and anticipate emerging trends, identify issues/opportunities, and recommend actions to senior management.

Job Requirements:

• MUST have 5+ years' experience in 1B or 2A roles in Governance, Risk and Controls

• Organizational awareness and sensitivity

• Proven skills in assessing and prioritizing based on business impact, need and risk factors.

• Strong written and verbal communication skills, including writing concise business messages, documents, creating impactful presentations, and presenting analysis to management and senior executives.

• Proven ability to work with and build strong relationships with stakeholders and colleagues.

• Solution oriented, with ability to navigate the organization and make assessments and decisions with sometimes vague, incomplete, or partial context/parameters.

• Independent thinker with exceptional analytical skills and strong business acumen

• High degree of personal initiative, with strong influencing and leadership skills

• Undergraduate degree: professional accounting, internal IT auditing or risk management designation and training would be beneficial.

• Proficiency in Microsoft Office applications

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 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. 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
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):

Sans Objet