Senior Manager, Conduct Review Program, Governance & Controls

Job description

Description

Department Overview:

TD Securities' (TDS) Governance and Control is a diverse and dynamic group of individuals, whose varied talents and experiences enable us to provide critical infrastructure services that support and/or control the trading, investment, and corporate banking functions of TD Securities.

We foster a culture of diversity, inclusion, and community giving.

The Governance & Control (1B) team partners with the Business (1A) and other groups globally to mitigate risk and deliver world class service to our global client base.

Additionally, we ensure the Business adequately consider, manage, and mitigate the risks in day-to-day activities, operations, products, and services, and is operating within risk appetite.

The Conduct review program continues to evolve and supports the reporting of conduct themes and insights to enable preventive solutions where required, across TD Securities.

The program focuses on developing consistent practices on employee coaching and supervisor training on how conduct should be escalated and managed.

If you are industrious, collaborative, innovative, and enjoy visionary thinking, while also maintaining a commercial view on the market, joining our team could be an ideal opportunity for you.

Role Details:

The Senior Manager, Conduct Review Program reports into the Global Head of Culture and Conduct Risk, and has regional (local) reporting into Head of Governance and Control, Asia Pacific.

The primary role is to create an optimal environment for Conduct and Culture Risk Management for all business activities and associated support functions, ensuring that conduct and culture risk related policies and standards are consistent with business strategies and priorities.

In the Asia Pacific region, this role will work closely with regional leadership to proactively monitor, identify, manage, and mitigate conduct and culture risk subject to local regulatory expectations.

They will also chair senior leadership meetings and committees to inform and influence Global Senior Executives.

The role is accountable for managing an end-to-end closed loop process to manage the Conduct Risk Program for the Asia-Pacific region which includes identifying themes and trends in each jurisdiction that could potentially lead to Conduct issues and work collectively with stakeholders to mitigate the risk of such issues.

In additional, the role will lead global initiatives and work with team members across various geographies, business and Technology stakeholders to ensure a consistent approach to how TD manages and mitigates conduct and culture risk.

The role is also accountable to supporting Fraud and Insider Risk as required.

Job Accountabilities:

Conduct Program:

Reporting:

Candidate Profile:

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.

Required Skill Profession

Operations Specialties Managers