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Manager, Governance and Controls

TD

This is a Contract position in Toronto, ON posted November 6, 2020.

Company Overview

Tell us your story. Don’t go unnoticed. Explain why you’re a winning candidate. Think ”TD” if you crave meaningful work and embrace change like we do. We are a trusted North American leader that cares about people and inspires them to grow and move forward.

Stay current and competitive. Carve out a career for yourself. Grow with us. Here’s our story: jobs.td.com

Department Overview

The Wealth Governance & Control (Wealth G&C) team is responsible for managing the overall risk management and governance portfolio for TD Wealth. The team is responsible for ensuring timely and consistent implementation – across all Wealth businesses – of all risk, control and governance programs, initiatives, policies and standards.

Job Description

Reporting to the Senior Manager of Wealth G&C Central Testing & Analytics, the Manager will ensure internal control testing is effectively and efficiently conducted based on the requirements of the 2nd line functions (e.g. Compliance, Risk, AML, etc), as well as providing support to our Control Partners and Business Partners across Wealth in the management of issues/findings.

Key responsibilities include the following:

  • Lead the development of Design and Operating effectiveness of Control Testing programs that will effectively and efficiently detect gaps in internal processes/controls. Understand and apply sampling methodology in accordance with TD sampling guidelines.
  • Assist in the review of Control Testing completed by Testing
    Analysts.
  • Lead and support TD Wealth businesses on Pan Wealth test engagements end to end conducted by the 2nd line functions.
  • Lead the analysis and reporting of findings from 2nd line function test engagements, including identification of key trends, drivers and recommendations on how to improve the risk profile
  • Manage the consolidated TD Wealth issues/findings list, including weekly findings review/challenge meetings. As part of this, provide effective challenge of action/resolution plans and evidence of resolution presented by TD Wealth businesses to address issues/findings.
  • Oversee the completion of the annual AML Risk Self-Assessment and Regulatory Compliance Management Self-Assessment by the team and support ad-hoc requests from the 2nd line functions.
  • Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings and knowledge with the team.
  • Provide leadership, guidance and expertise; ensures team adheres to enterprise frameworks and methodologies.

Requirements

  • University or Post-Graduate degree
  • Minimum 5 years Risk, Audit, and/or Compliance experience (financial services industry preferred)
  • Professional accounting/auditing/risk management designation would be considered an asset
  • Strong analytical/research skills & business acumen with the ability to breakdown complex subjects into manageable parts in a systematic manner & assess risk/challenge the status quo.
  • Strong interpersonal and relationship management skills.
  • Effective time management, multi-tasking and organizational skills to meet tight timeframes as well as flexibility to adapt to changing priorities.
  • Deliverable-focused.
  • Well-developed written and verbal communication skills.
  • Ability to take initiative and work independently and in a team environment.
  • Confident presentation and facilitation skills.

Hours

37.5

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. 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.