Manager, Wealth Governance - Toronto, Canada - TD Bank

TD Bank
TD Bank
Verified Company
Toronto, Canada

3 weeks ago

Sophia Lee

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Sophia Lee

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Description

TD Description
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Department Overview

  • TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow and successfully transition their wealth.

There are five unique lines of business:

  • Advice: Our fastest growing division which includes financial planning, full-service brokerage and private client groups.
  • Direct Investing: Canada's largest direct investing brokerage, provides a full set of offerings to retail clients in Canada
  • TD Asset Management
    (TDAM
    ): A leading North American investment management company comprising of both retail and institutional clients
  • US Wealth: Leverages the branches in TD's US retail arm to offer suite of products and services to American customers
  • Wealth Shared Services: National backoffice support function serving all marketfacing businesses across strategic editorial content, business management, business architecture, wealth product, analytics and reporting, and operations. Within Wealth Shared Services, the Governance & Controls function is a national team, advising and supporting the management of the overall risk, control and governance portfolio for TD Wealth.


TD Wealth Shared Services Governance & Control (G&C) team partners with the Wealth businesses to design, implement, maintain and monitor effective internal controls and ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.

We operate in a hybrid model, meaning in the office about half of the time and have flexibility to work remotely (if you choose) for the other part of the week

  • Reporting to the Senior Manager, Governance & Control, this position will be primarily responsible for supporting all TD Wealth Canada businesses in adherence to TD enterprise and regulatory requirements, managing risk and having effective operational controls in place. The position is expected to support and work with all TD Wealth Canada businesses and Wealth Control Partners to ensure appropriate policies, procedures and controls are in place and appropriately governed.
  • As part of the key accountabilities of the role, the Manager will
  • Lead the ongoing operating effectiveness assessment of Wealth's key process controls, including assessing ability to leverage automated monitoring or other forms of oversight to reduce duplication of testing.
  • Provide strong leadership of a team responsible for Wealth's process, risk and control selfassessments for core processes, related quality control testing, and testing other key controls, including regulatory compliance and antimoney laundering, as required. This includes identifying and recommending opportunities to automate or enhance controls.
  • Direct management of team of 5, including hiring and termination, team objective setting, training, and ongoing performance feedback processes; ensures team adheres to enterprise frameworks and methodologies and meets objectives.
  • Assist other G&C teams to ensure that the businesses remain compliant with regulatory, risk management and control expectations.
  • Effectively manage adhoc governance, risk management and control projects or tasks of varying complexities within established deadlines.
  • Establish strong relationships and maintain an efficient interaction model with business partners, other G&C leads, and Control Partners such as Compliance, Risk Management, GAML, and Internal Audit.
  • Support executive reporting, including meaningful data insights, on the results of control testing.
  • Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism.

Job Requirements

  • University or Post-Graduate degree
  • Experience as a people leader
  • Minimum 5 years Risk, Audit, and/or Compliance experience (financial services industry preferred)
  • Professional accounting/auditing/risk management designation would be considered an asset
  • Knowledge of wealth management businesses preferred
  • Strong interpersonal and relationship management skills.
  • Effective time management, multitasking and organizational skills to meet tight timeframes as well as flexibility to adapt to changing priorities.
  • Deliverablefocused.
  • Welldeveloped written and verbal communication skills.
  • Ability to take initiative and work independently and in a team environment.
  • Confident presentation and facilitation skills.

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 ma
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