Governance and Controls Specialist (US) Data Review & Reporting

TD•Fort Lauderdale, FL

1d•Onsite

About The Position

The Governance & Control Specialist manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies/processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives. This is a highly seasoned professional role requiring substantial business knowledge/expertise in a complex field and knowledge of broader related areas. It involves integrating knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations. The role requires the ability to work collaboratively and build relationships across teams and functions, interpret internal/external business challenges and the industry environment, and recommend courses of action and best practices to improve products, processes, or services. The Specialist acts as a technical expert/lead integrating cross-function understanding within their own field of specialty and may manage teams of related specialists. They lead cross-functional teams or projects with significant resource requirements, risk, and/or complexity, and independently manage end-to-end functional programs. The role involves solving complex problems, leading efforts or partnering with others to develop new solutions, and working autonomously as the lead while guiding others within their area of expertise.

Requirements

Undergraduate degree preferred
7+ years of relevant experience
Advanced business understanding and knowledge of risk and control functions
Advanced knowledge of governance, risk and control procedures, strategies & tactics
Knowledge of current and emerging competitor and market trends
Ability to establish goals and objectives that support delivery execution for multiple teams
Ability to contribute to the direction of the function and provide advice to the team and delivery leadership
Ability to lead, plan, execute and evaluate project activities to ensure completion of initiatives
Skill in mentoring, and performance management
Skill in using analytical software tools, data analysis methods and reporting techniques
Skill in using computer applications including MS Office and industry standards
Ability to communicate effectively in both oral and written form
Ability to work collaboratively and build relationships across teams and functions
Ability to work successfully as a member of a team and drive team execution
Ability to exercise sound judgement in making decisions
Ability to analyze, organize and prioritize work while meeting multiple deadlines
Experience in receiving reports / data in a specific format and being able to review, analyze, and understand that data in order to complete related operational routines.
Advance experience with Excel
Understand metrics in the reporting and identify discrepancies in the data

Responsibilities

Manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area.
Implements policies/processes and/or initiatives to meet governance and control guidelines.
Acts as a technical lead on key control initiatives.
Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations.
Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services.
Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists.
Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity.
Independently manages end-to-end functional programs.
Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions.
Works autonomously as the lead and guides others within area of expertise.
Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy.
Develops and documents a comprehensive inventory of processes and controls with clearly-defined owners and roles and responsibilities for each process and control.
Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations.
Reviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls.
Leads the integrated execution of policies/procedures/changes across multiple functional areas.
Provides direction to complex, wide-ranging enterprise or cross-function/business projects as a SME, identifies risk/provides guidance for complex situations and participates in designing, testing, and implementation of solutions.
Acts as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space.
Ensures programs/policies/practices are well-managed, meet business needs/priorities, and comply with internal/external requirements.
Exercises discretion in managing communication/correspondence, information and all matters of confidentiality.
Leads research projects; supports the development/delivery of materials and presentations to management or broader audience.
Conducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices.
Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions.
Manages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements.
Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risk transactions/activities as necessary.
Maintains a culture of risk management and control, supported by processes in alignment with risk appetite.
Is knowledgeable of and complies with Bank Code of Conduct.
Participates as a member of the team, supports a positive work environment and ensures timely communication.
Provides leadership as a SME and participates in knowledge transfer within the team/business unit.
Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques.
Keeps others informed about the status/progress of projects.
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
Contributes to a fair, positive and equitable environment.
Acts as a brand ambassador for your business area/function and the Bank.