Manager II, Governance and Control (Securities)
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Stay current and competitive. Carve out a career for yourself. Grow with us. Here's our story: jobs.td.com Department Overview The Wealth Shared Services Business Governance & Control 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 the Wealth businesses - of all risk, control and governance programs, initiatives, policies and standards. The Regulatory Affairs team is responsible for intake and operationalization of regulatory change in the wealth businesses, thought leadership on Pan-Wealth initiatives with regulatory implications and resolution of regulatory and other risk-based escalations. Together with our control partners and stakeholders, this team is responsible for the intake, interpretation and solutioning of these matters with an end-to-end process to facilitate effective change management and new or enhanced policies/procedures/ technology, as applicable. Job Description The role reports to the Senior Manager, Regulatory Affairs, Securities and handles regulatory changes and wealth business initiatives in respect of the regulation of wealth entities by Securities Commissions and SROs. In this role the successful candidate will work closely with partners across the organization including AML, Credit, Tax, Operations, Technology/Delivery, Compliance and Legal, among others, to help institutionalize and promote a sustained culture of best practices through the appropriate intake of issues and operationalizing solutions. We are looking for a self-motivated and innovative individual who excels in a fast paced, sometimes ambiguous and high impact business team. Primary Responsibilities
- Engage in ongoing regulatory discussions to implement an engagement model with control partners and stakeholders
- Coordinate and work across G&C and Wealth Shared Services in respect of issues intake and escalations
- Utilize business and regulatory experience to understand changes for the Wealth businesses
- Participate in impact and gap assessments and operationalization of regulatory and other risk requirements
- Participate in the interpretation of proposed changes, and business and stakeholder discussions
- Prepare high-quality presentation materials for executives
- Effectively participate in ad-hoc projects or tasks of varying complexities
- Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism
- University degree is required and a law degree is considered an asset
- The ideal candidate should have 3-5 years prior experience in financial services and have related experience in a law, risk management or governance and control
- Experience with and knowledge and understanding of OSC and IIROC regulatory related projects
- Experience with Securities related projects such as Plain Language Rules (PLR) or Client Focused Reforms (CFR)
- Ability to understand laws and regulations affecting the wealth businesses, and specifically securities regulations, as a compliment to Legal and Compliance functions. Understanding of SRO regulations and guidance is a key attribute.
- Strong interpersonal skills, able to build relationships, effectively interact with individuals at all levels of the organization to make an impact
- Excellent organization skills and ability to effectively manage work under tight timelines and changing priorities
- Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio etc)
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.