Manager II, Governance & Control

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Governance & Control

Pay Details:
$91,200 - $136,800 CAD

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:

About the Role

As a key member of the TD Securities (TDS) 1B Governance & Control (G&C) team, the Manager acts as a trusted advisor and risk partner to the global Corporate & Investment Banking (CIB) businesses. This role involves providing oversight, advice, and operational support to promote resilience and reduce the risk of non-compliance with laws, regulations, and internal policies.

The role spans the entire CIB portfolio (i.e. Capital Markets, Mergers & Acquisitions, Corporate Banking, Investment Banking, etc.). It requires a strong understanding of capital markets and non-financial risk management, along with the ability to collaborate across groups in first, second, and third lines of defense. The Manager will support the consistent and timely implementation/maintenance of risk, control, and governance programs, policies, procedures, and strategic initiatives across CIB.

Key Responsibilities

• Serve as a central point of contact for CIB businesses on governance, risk, and control matters, providing oversight, advice, and operational support in collaboration with subject matter experts.
• Champion a strong risk culture by instilling a deep understanding and adherence to the bank's risk appetite, risk frameworks, policies, and standards.
• Lead and support the execution of key enterprise risk programs including but not limited to Risk & Control Self-Assessments (RCSAs), Operational Risk Events (ORE) and issues management, Financial Crime Risk Management (FCRM), and Regulatory Compliance Management (RCM).
• Support the development and maintenance of the RCSA program by engaging with control owners/Business to document key risks and controls, identify any gaps, and drive remediation.
• Partner with Compliance and the Business to adhere to RCM program related policies/standards, including identifying applicable Laws, Rules, and Regulations (LRRs), assessing risk rating, mapping controls, and addressing any gaps.
• Work closely with the Business on urgent new deal initiatives that may pose reputational risks, conducting risk reviews and ensuring alignment with relevant Risk Partners and Executive Committees.
• Provide subject matter expertise on control design and effectiveness, and support the remediation of audit, regulatory, and self-identified issues. Facilitate cross-functional workshops as required to document and manage issues through to resolution.
• Support strategic initiatives, ad-hoc tasks and change projects, including but not limited to system enhancements, new business/product launches, change risk assessments, vendor onboarding, business continuity assessment, and process innovation.
• Support identification and risk assessment of End User Computing (EUC)/non-model tools/applications and assist in implementing and maintaining appropriate controls.
• Build and maintain strong relationships with stakeholders across the three lines of defense, including but not limited to CIB Businesses, Compliance, Legal, Financial Crime Risk, Operational Risk, Environmental & Social Risk, Operations, Technology, and Internal Audit.
• Provide regular program updates to key stakeholders and address ad-hoc reporting needs as they arise.
• Foster a culture of continuous improvement, collaboration, and professional excellence.
• Navigate ambiguity and shifting priorities with confidence, managing multiple deliverables across business lines.

What You Bring

• University or post-graduate degree; professional designation in accounting, auditing, or risk management is an asset.
• Minimum 6 years of experience in Risk, Audit, or Compliance within financial services, preferably in capital markets.
• Strong understanding of capital markets (Debt and Equity Capital Markets), investment banking, M&A, and/or corporate banking.
• Exceptional attention to detail and ability to manage competing priorities in a fast-paced, dynamic environment.
• Proven ability to influence and build strong relationships across all levels of the organization.
• Strong business acumen, including project management, governance, and compliance understanding.
• Analytical and problem-solving skills with the ability to think critically, cut through complexity, and drive change and execute with speed.
• Self-motivated and proactive, with the ability to work independently and collaboratively in a team environment.
• Excellent communication, facilitation, and relationship management skills.
• Demonstrated ability to work cross-functionally and navigate complex organizational structures.

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