Governance & Control Mgr (US)
About The Position
Job Description Summary: The Governance and Control Manager will be responsible for the analysis, assessment and reporting of operational risks. This includes representing the ATM Channel for new business initiatives and interacting with internal partners such as Legal, Compliance, Privacy, Operational Risk, Regulatory Risk, Fraud, TRMIS and others to ensure alignment to the broader organization from a policy and compliance perspective. Depth & Scope: Actively engages partners including Legal, Compliance, Privacy, Operational Risk, Regulatory Risk, Fraud, TRMIS to understand risk policies and collaborate, identify solutions for the ATM Channel Acts as Risk SME on new ATM Channel initiatives to ensure the application of a risk lens in conjunction with internal stakeholders to mitigate, avoid or transfer exposure to an acceptable extent (Tier 1, 2, 3 Projects) Acts as an expert in Operational Risk Event data and reporting and provides insight in identifying trends and risks for the business Supports the annual Risk & Control Self-Assessment process, including preparatory work for all sessions Responsible for oversight of process mapping and risk assessments under the new Process Risk & Control Self-Assessment (pRCSA) enterprise wide initiative Assists business with the development and review of Key Risk Indicators (KRIs) and manages the aggregation and assessment of KRIs Coordinates Business Continuity Planning; with Plan Builder accountability for both US and Canada BCM Plans Performs ad hoc analysis and investigations as required Maintains a thorough knowledge of the ATM Channel and its emerging compliance issues, ensuring proactive management and adequate support Encourages and fosters positive working relationships with internal business partners Works with key internal stakeholders (Compliance, Privacy, Regulatory and Operational Risk, etc.) to ensure compliance on pending legislation and awareness of issues as a result of the change in order to determine channel impact to close gaps Escalates ATM Channel regulatory concerns to partners
Requirements
- Undergraduate degree or relevant industry or risk and compliance management experience and/or accreditation
- 7+ years of related experience
- Relevant industry or risk and compliance management experience and/or accreditation
- Has an understanding of the key internal business partners and their respective roles within the organization
- Has a good understanding of the risk management landscape and disciplines at TD
- Process/control design and analysis skills are a definite asset
- Takes ownership of issues and is able to drive initiatives forward to successful resolution
- Provides day to day interaction and support to Management
- Works independently as well as in a team environment
- Ability to educate others on risk related issues
- Strong analytical and problem solving skills, has an eye for detail and the ability to meet tight deadlines, manage priorities and multi-task
- Strong written, verbal, and presentation skills to allow for effective communication with senior management and other business partners
- Strong relationship management skills to work collaboratively with other departments and at all levels
- Adaptable to changing priorities and ad hoc requests
- Ability to work within predetermined engagement process and adhere to current practices
- This role requires independent, critical thinking skills and the ability to develop and nurture strong relationships with Financial Crimes Prevention & Operations (FCPO) front-line business partners to build out quantitative and qualitative metrics (e.g., KRIs & KPIs) and justify their use to measure a business unit's level of inherent risk and control effectiveness on a quarterly basis as well as presenting and justifying those risk ratings to senior First- and Second-Line of Defense partners
Responsibilities
- Actively engages partners including Legal, Compliance, Privacy, Operational Risk, Regulatory Risk, Fraud, TRMIS to understand risk policies and collaborate, identify solutions for the ATM Channel
- Acts as Risk SME on new ATM Channel initiatives to ensure the application of a risk lens in conjunction with internal stakeholders to mitigate, avoid or transfer exposure to an acceptable extent (Tier 1, 2, 3 Projects)
- Acts as an expert in Operational Risk Event data and reporting and provides insight in identifying trends and risks for the business
- Supports the annual Risk & Control Self-Assessment process, including preparatory work for all sessions
- Responsible for oversight of process mapping and risk assessments under the new Process Risk & Control Self-Assessment (pRCSA) enterprise wide initiative
- Assists business with the development and review of Key Risk Indicators (KRIs) and manages the aggregation and assessment of KRIs
- Coordinates Business Continuity Planning; with Plan Builder accountability for both US and Canada BCM Plans
- Performs ad hoc analysis and investigations as required
- Maintains a thorough knowledge of the ATM Channel and its emerging compliance issues, ensuring proactive management and adequate support
- Encourages and fosters positive working relationships with internal business partners
- Works with key internal stakeholders (Compliance, Privacy, Regulatory and Operational Risk, etc.) to ensure compliance on pending legislation and awareness of issues as a result of the change in order to determine channel impact to close gaps
- Escalates ATM Channel regulatory concerns to partners
Benefits
- Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
