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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.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to oversee the design, implementation, maintenance, and monitoring of effective internal controls to ensure business activities remain within TD Bank's risk appetite and comply with regulatory requirements.

The team is responsible for overseeing the timely and consistent implementation – across all TDS businesses – of all risk, 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 Enterprise and TDS policies, frameworks, methodologies, standards, and practices and are key members of enterprise projects / programs requiring TDS representation.

Job Description

Reporting to the AVP & Managing Director, TDS G&C, the primary role of the Senior Manager & Director, TDS Governance & Controls, is to support TDS businesses and control partners in adhering to Issues Management standard requirements and Issues Management reporting for overall risk awareness. This role will liaise between team members, cross functional teams for both business and technology stakeholders and ensure the responsible owners remain on track to successfully address issues, self-identification of issues and gaps, to ensure risk mitigation and avoid repeat occurrences.

As part of the key accountabilities of the role, the individual will be expected to:

• Demonstrate a strong understanding and promote awareness of issues and self-identification workflow, challenge and at risk management.

• Execute the Issues Management reporting requirements, quality data build and exceptions management.

• Oversee the Issues Management program to adhere to the standards and attestation requirements.

• Oversee and assist with audit exam coordination across the TDS business and provide advice and guidance to support a positive outcome. Ensuring clear and timely submissions that are appropriately reviewed by 1st line of defense (LOD) to mitigate risk and avoid repeat occurrences.

• Develop and manage a review and challenge process on audit findings.

• Execute and oversee the process prior to finding submissions to assist with a successful outcome.

• Provide guidance to the Line of Business (LOB) and Technology partners (1A community) on issues, self-identified issues or operational risk event.

• Identify, prioritize, action, and escalate (as required) timely to senior executives.

• Provide SME advice and input with new self-identified issues to ensure appropriate submissions and timely issuance.

• Support executive reporting, including meaningful insights on the overall status of programs.

Job Requirements

• University or Post-Graduate degree; professional auditing/risk management designation would be considered an asset.

• Minimum 8 years of Audit experience (financial services industry preferred).

• Knowledge of capital markets businesses is preferred.

• Experience as a people leader focused on a strong coaching culture, talent development and employee experience through recognition.

• Support team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements.

• 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 work independently and in a team environment.

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):