Data Strategy Governance Director jobs at Bank Of America in United States, New York

Responsibilities:

• Closely follow and interpret a wide range of signals, trends, and indicators including but not limited to fundamental, macroeconomic, sentiment, positioning and technical frameworks to help determine views
• Keep abreast of academic and practitioner research in the area of quantitative investment techniques, AI and ML models
• Assist in creating exhibits and written materials on investable themes.
• Market the team’s views to sales, institutional investors and the Merrill Global Wealth & Investment Management and approved media channels
• Service clients’ bespoke quantitative research needs with varying degrees of complexity in a timely manner
• Constantly seek out new, value-added, and/or unusual sources of information
• Develop and maintain databases, indicators, and financial models integral to our research product
• Produce collaborative reports across asset classes and with fundamental analysts
• Help produce a weekly email compilation for clients, creatively packaging weekly content in an easily digestible note and curating macro research across BofA

Requirements:

• Bachelor’s degree in STEM field or equivalent years of experience, graduate work desirable
• 1-5years of experience in Financial Services, Technology or fields relevant to the role
• Strong proficiency in Microsoft Excel, Word and PowerPoint
• Experience with AI/ML techniques, large datasets, statistical analysis
• Experience with Bloomberg, FactSet, other market data applications a plus
• Comfort with public speaking/presenting to large audiences in a variety of formats (in-person, video, etc.)
• Willing to take initiative, take the lead on projects/tasks, and meet deadlines under minimal supervision.
• Strong attention to detail‎, ability to work under pressure
• Team player; ability and desire to collaborate
• Excellent project management abilities
• Strong detail orientation/ a passion for accuracy
• Excellent analytical background & strong conceptual skills
• Strong business writing skills
• Passion for financial markets

Job Description:

Job Description:
This job is responsible for handling moderately complex operations processes related to credit disputes, escalations and tax reporting. Key responsibilities include analysis, research, reconciliation, reporting data validation and resolution of issues and identified customer requests which may carry high levels of risk within enterprise risk categories. Job expectations include handling moderately complex transaction processing, reconciliation, and resolution of research requests to clients, consumer reporting agencies or taxing authorities, consulting with management for support.

This job is responsible for the analysis and resolution of tax operations processes and issues that require coordination of multiple stakeholders.Key Responsibilities:
• Perform US IRW Tax Withholding and Reporting function
• Service tax related client inquiries and escalations particularly for the Prime Brokerage business
• Liaise with associates at all levels across global locations
• Participate in ad hoc projects for new processes, regulatory & industry initiatives
• Compile metrics and quality assurance results with a high degree of focus on regulatory controls
• Adhere to defined procedures and regulatory requirements

Responsibilities:

• Performs moderately complex activities supporting credit disputes, escalations, and tax reporting while following established written procedures and guidelines and ensuring accurate and timely delivery
• Researches and resolves moderately complex financial data requests or exceptions based on analysis of assembled data in an accurate and timely manner
• Performs routine analytics, report creation, and exception processing
• Identifies risk and opportunities for process improvement based on an understanding the work impacts other operational units and escalates risk concerns, as appropriate
• Provides quality service and support for internal business partners and external clients

• Proficient in Microsoft applications, in particular, Excel
• Strong reconciliation and problem solving skills
• Ability to multitask and work independently in a fast paced environment
• Excellent people management skills
• Strong organizational, analytical problem-solving skills
• Excellent written and verbal communication skills
• College degree or comparable work experienceDesired Skills:

•Chapter 3, 4, 61, 1099/1042s, and 871m knowledge
• Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions.
• Excels in working among diverse viewpoints to determine the best path forward
• A continuous learner
• Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base

Skills:

• Customer and Client Focus
• Oral Communications
• Written Communications
• Adaptability
• Attention to Detail
• Critical Thinking
• Problem Solving
• Active Listening
• Collaboration
• Result Orientation
• Stakeholder Management

Representative Projects:

• Develop advanced statistical methods to determine the optimal interest-rate or product pricing strategies for clients

• Build a Generative AI-powered search platform that enables sales and product teams to access high quality answers to product, servicing, and client related questions

• Develop AI models that shift foreign currency conversion “up the payment stream,” reducing reliability on beneficiary banks

• Apply advanced NLP techniques to generate near real-time insights into what clients are reaching out to servicing teams about, helping servicing teams anticipate client needs and improve service quality

Who we’re looking for:

As aon the GPS team, you will tackle one of our most import challenges: building models that transform data into revenue-driving insights and products. This role blends research, engineering, and product responsibilities, requiring you to design statistical models, build scalable ML pipelines, and deploy algorithms directly into our production systems. You will work across teams to solve problems in recommendation, stochastic optimization, and time-series forecasting; while running large A/B tests on new methods we design to push the boundaries of what data can achieve.

Responsibilities:

• Frame abstract business problems using advanced data science and machine learning algorithms

• Work with stakeholders throughout the organization to identify opportunities for leveraging internal and external data to drive business solutions

• Own critical research and application development, strengthening the firm's competitive advantage

• Shape cross-team collaboration to advance the firm's data science capabilities

Required Skills:

• Minimum Bachelor’s degree in a quantitative field such as computer science, math, statistics, and physics

• Minimum 3 years of experience with translating mathematical models and algorithms into code (Python and/or C++)

• Strong foundation in probability, statistics, and applied machine learning (NLP, time-series analysis, Generative AI)

• Prior experience working in a highly technical data driven research environment

• Ability to communicate complex topics in a concise and coherent manner

Desired Skills:

• Graduate level degree in a quantitative field such as, computer science, math, statistics, and physics

• Demonstrated prior experience through work, research or passion projects in RAG, Agentic Frameworks, LLMs, Reinforcement Learning

• Are energized by the high stakes and intensity of dynamic environments and ready to dive in whenever

• Are excited to dive into new technical areas on a regular basis

Job Description:

earnings forecasts,

Key objectives are:

• Contribute to key forecasts including S&P 500 target and bottom- up earnings outlook
• Closely follow and interpret a wide range of signals, trends, and indicators including fundamental, economic, sentiment, positioning and technical indicators in order to help craft an outlook for the market and determine sector recommendations.
• Assist in writing reports on the fundamental, macro and quantitative landscape including deep dives on topical macro themes.
• Market the team’s views/outlook to sales, clients (including institutional investors and the Merrill Global Wealth & Investment Management platform‎) and the media.
• Service clients’ bespoke project needs with varying degrees of complexity in a timely manner.
• Seek out new, value-added, and/or unusual sources of information.
• Develop and maintain databases, indicators, and financial models integral to our research product.
• Produce collaborative reports across asset classes and with fundamental analysts.
• Collaborate with junior and senior peers to develop key indicators, models, and relevant themes for the US equity markets, economy, sectors, and industry

Requirements:

• Bachelor’s degree or equivalent years of experience
• Excellent writing and communication skills
• Strong analytical background
• Fundamental equity research or accounting experience preferred. CFA candidacy a plus
• Strong proficiency in Microsoft Excel, Word and PowerPoint
• Experience using Bloomberg and FactSet; experience with other market data applications a plus
• Comfort with public speaking/presenting to large audiences in a variety of formats (in-person, video, etc.)
• Willing to take initiative, take the lead on projects/tasks, and meet deadlines under minimal supervision
• Strong attention to detail‎, ability to work under pressure
• Team player; ability and desire to collaborate
• Passion for financial markets

Pay Detail:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Preferred Qualifications:

DEPARTMENT OVERVIEW

The TDS Governance and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, managed, and mitigated risks in day-to-day activities, operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite.

Members of TDS Governance & Control require sufficient expertise to review and assess whether the Business is adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations.

JOB DESCRIPTION

The Vice President supports Volcker Program Governance across TD Securities (Globally) ensuring a strategic, risk-based approach for alignment with Volcker Rule standards.

The position has a high level of direct interaction with stakeholders across various functions including the Business, Risk, Product Control, Technology, and Compliance. This position will require an individual who can collaborate and engage effectively in terms of enhancing Volcker Program procedures, monitoring processes, controls, policies and developing and communicating a project plan/tracker and associated updates to a variety of stakeholders.

JOB ACCOUNTABILITIES

The general accountabilities of this role include but are not limited to the following:

• Build and maintain constructive relationships with 1st and 2nd line partners as well as other key stakeholders to ensure Volcker Program governance delivery requirements are understood and met.
• Contribute to an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct.

• Partner with stakeholders to ensure risks are adequately identified, assessed, and develop risk mitigation strategies to manage current and emerging risk exposures across the Program.
• Accountability to establish, deliver and support Volcker Program governance across TD Securities and other business segments.
• Support the Business in the design, implementation, and sustainment of controls within key processes and procedures.
• Partner with Business to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews.
• Ensuring a coordinated approach with other business areas, the broader organization and enterprise control functions.
• Build and cultivate an environment of innovation that leads to working smarter and simpler.
• Instill an attitude of critical thinking, risk management and understanding the needs of TD Securities colleagues.
• Ability to influence change and develop strong interpersonal relationships with team members and key partners.

JOB REQUIREMENTS

• Understanding of a global markets business in general including some product knowledge.
• Strong compliance and/or risk management assessment background.
• Some level of understanding of the Volcker Rule and its applicability to a global markets business and associated required metrics production and monitoring processes.
• Skillful communicator and influencer to build relationships, advance decision making, and effect change over time.
• Initiative-taking individual with a record of successfully assisting with implementing program enhancements.
• Ability to work with a pool of experts and ensures elevated levels of service even when the effort crosses organizational boundaries.
• Thrives in a challenging environment, managing multiple deadlines and priorities.

• Strategic thinking with solid problem solving and decision-making skills.
• Skilled at “connecting the dots” across issues in support of solutions and development ofstrategies to effectively manage and mitigate risk.
• Excellent interpersonal skills to effectively interact at all levels of the organization, coupled with a passion to build strong working relationships and contribute to a strong team environment.
• Strong organizational/time management skills.

• Flexibility to quickly adapt to changing requirements and execute on non-routine ad-hoc deliverables.
• A positive "can do" attitude with a curiosity and willingness to learn and grow, as well as share knowledge and experience.
• Proficiency in Microsoft applications (Excel, Word, PowerPoint), and Share Point.

ADDITIONAL INFORMATION

• Undergraduate degree or equivalent work experience
• Graduate degree would be an asset.
• Working knowledge of trade data process flows and technology platforms a plus.

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 theprocess (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.

The Manager II, Governance & Control leads and manages a governance and control team, overseeing diverse functions in an area of moderate risk, complexity or scope usually involving short to medium-term planning. This role ensures an integrated approach with other business governance and control areas, the broader organization, and enterprise control functions.

Depth & Scope:

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
• Leads and manages a team of professionals for a diverse group set of G&C functions in an area of moderate risk, complexity or scope, while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business results
• Presents and makes recommendations to senior management and executives
• Ensures an integrated approach with other business areas, broader organization, and enterprise as appropriate
• Coordinates and prioritizes multiple initiatives and manages resource allocation
• Establishes effective relationships with different Stakeholders, Business Sponsors, Executives and LOB
• Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
• Deep knowledge and understanding ofbusinesses/technology,and organizationalpractices/disciplines
• Focuses on medium-term planning and business issues (e.g. 6-12 months)

Education & Experience:

• 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 risk management environment, standards, regulations and mitigation
• Knowledge of current and emerging trends
• Skill in managing budgets and resource allocation
• Skill in mentoring, coaching and performance management
• Skill in using analytical software tools, data analysis methods and reporting techniques
• Skill in using computer applications including MS Office
• Ability to lead, plan, implement and evaluate program/project activities to ensure completion
• 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 independently
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Ability to process and handle confidential information with discretion
• Ability to establish goals and objectives that support the strategic plan
• Ability to contribute to strategic direction of the strategic initiatives and projects

Customer Accountabilities:

• Develops, communicates and implements a holistic governance and control strategy for own specific business function in support of and integrated with the overall business strategy
• Manages and plans activities that require alignment across multiple areas
• Leads the implementation of regulatory change management and provides guidance to the team in the development and/or integrated implementation ofpolicies/procedures/changesacross multiple business/functional areas
• Leads partnership with management and respective teams for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending actions to senior management
• Ensures all administration, control and compliance activities are complete and accurate to meet targets for own area
• Ensures an integrated and aggregated view of all related business risk and control activities across the overall function providing escalations, recommendations, and decision support to leadership
• Forecasts programs/initiatives and demand, and coordinates prioritization of theportfolio/initiativeswith key stakeholders
• Provides functional/business level communications to ensure messages to stakeholders and/or employees are consistent, appropriate and aligned to business risk strategies and executive management direction
• Provides direction to complex, wide-ranging enterprise orcross-function/businessprojects as a SME and participates in designing, testing, and implementation of solutions

Shareholder Accountabilities:

• Works closely with senior management to develop business plan, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scale
• Leads interface and relationships with corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements
• Assesses/identifies key issues and escalates to appropriate levels and relevant stakeholders and business management where required
• Identifies, mitigates and reports on risk issues per enterprise policy/guidance and ensures appropriate escalation processes are followed
• Ensures business operations are in compliance with applicable requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
• Leads or contributes tocross-functional/enterpriseinitiatives as a SME helping to identify risk/provide guidance for complex situations
• Manages oversight process, risk-based identification and monitoring of related risks and regulatory compliance across the supported functions, while ensuring key controls and processes are effectively managed
• Oversees or leads the facilitation and/or implementation of action/remediation plans to addressperformance/risk/governanceissues
• Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high-risktransactions/activitiesas necessary
• Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

• Responsible for management of the overall team providing both leadership, guidance, and expertise; ensures team adheres to enterprise frameworks and methodologies
• Supports team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements and assesses potential impacts to the Bank
• Leads a high-performing team; provides ongoing feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees
• Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner
• Manages employees in compliance with all human resources policies, procedures and guidelines of conduct
• Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
• Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
• Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives
• Acts as a brand ambassador for your business area/function and the Bank

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

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.

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.
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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
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.

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

Pay Detail:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Preferred Qualifications:

DEPARTMENT OVERVIEW

The TDS Governance and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, managed, and mitigated risks in day-to-day activities, operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite.

Members of TDS Governance & Control require sufficient expertise to review and assess whether the Business is adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations.

JOB DESCRIPTION

Reporting to the Senior Manager, Governance and Control, the Manager supports Change Governance Programs across TD Securities (Globally), ensuring a strategic, risk-based approach for alignment with Enterprise Change Governance Standards.

The position has a high level of direct interaction with Executive Sponsors, Change Delivery Teams, and Risk and Control partners. This position will require an individual who can 'think outside of the box' in terms of developing, communicating, sharing, implementing and improving project methodology and governance processes, controls and tools.

JOB ACCOUNTABILITIES

The general accountabilities of this role include but are not limited to the following:

• Partner with the Business, Risk and Change Delivery to approve Change Risk Assessments.
• Partner with the Business, Risk and Change Delivery to manage the New Business and Product Approval process.
• Build and maintain constructive relationships with 1st and 2nd line partners as well as other key stakeholders to ensure TDS change delivery requirements are understood and met.
• Provide coaching, mentorship and guidance to practitioners, business executives within the area of Change Governance.
• Contribute to team development by sharing knowledge and experiences, leveraging best practices.
• Maintain a comprehensive understanding of existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.
• Foster an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct.
• Evaluate business strategy and activities against risk appetite and provide management and stakeholders with sufficient and timely insight into the business and industry landscape.

• Partner with Business to ensure risks are adequately identified, assessed, and develop risk mitigation strategies to manage current and emerging risk exposures across all risk categories and all business areas.
• Accountability to establish, deliver and support governance processes across TD Securities.
• Support the Business in the design, implementation, and sustainment of controls within key processes and procedures.
• In partnership with the 2nd line and oversight functions, incumbent will provide advice and facilitate discussions with management and stakeholders on relevant internal and external events and collaborate to expediently resolve incidents, identify, and track issues to remediation and develop processes to create timely, complete, and accurate reporting.
• Enable initiative-taking, data-driven, risk-based decision making.
• Partner with Business to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews.
• Ensuring a coordinated approach with other business areas, the broader organization and enterprise control functions
• Strategic partner to leadership team on the management of the function, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management / enterprise areas.
• You are responsible to explore and deliver leading edge innovation, process improvements, and build a 'learning' organization through leadership, coaching and mentorship.
• Build and cultivate an environment of innovation that leads to working smarter and simpler.
• Instill an attitude of critical thinking, risk management and understanding the needs of TD Securities colleagues.
• Ability to influence change and develop strong interpersonal relationships with the business, team members and key partners.
• Responsible for the provision of a challenging and stimulating environment, primarily through delivering quality leadership and empowering the team with the skills, tools, and resources to follow through with their ideas.

JOB REQUIREMENTS

• Understanding of Wholesale banking business.
• Strong compliance and/ or risk management background.
• Proven ability to successfully lead change and manage effectively in matrixed environment.
• Skillful communicator and influencer to build relationships, advance decision making, and effect change over time.
• Initiative-taking individual with a record of successfully implementing large scale globally sourced programs with superior results.
• Ability to work with a pool of experts and ensures elevated levels of service even when the effort crosses organizational boundaries.
• Thrives in a challenging environment, managing multiple deadlines and priorities.

• Strategic thinking with solid problem solving and decision-making skills.
• Skilled at “connecting the dots” across issues in support of solutions and development ofstrategies to effectively manage and mitigate risk.
• Excellent interpersonal skills to effectively interact at all levels of the organization, coupled with a passion to build strong working relationships and contribute to a strong team environment.
• Strong organizational/time management skills.

• Flexibility to quickly adapt to changing requirements and execute on non-routine ad-hoc requests.
• A positive "can do" attitude with a curiosity and willingness to learn and grow, as well as share knowledge and experience.
• Proficiency in Microsoft applications (Excel, Word, PowerPoint), and Share Point.
• Knowledge of the MERLIN application is an asset but not required.

ADDITIONAL INFORMATION

• Undergraduate degree or equivalent work experience
• Graduate degree would be an asset.

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 theprocess (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.

The Director Governance & Control partners with the Business and other groups globally to mitigate risk and delivers world class service to our global client base. Additionally, ensures the Business adequately consider, manage, and mitigate the risks in day-to-day activities, operations, products, and services, and is operating within risk appetite. Director Governance & Control reviews and assesses whether the Business is adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations.

Job Accountabilities:

• Fosters an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct
• Evaluates business strategy and activities against risk appetite and provide management and stakeholders with sufficient and timely insight into the business and industry landscape
• Partners with Business to ensure risks are adequately identified, assessed, and develop risk mitigation strategies to manage current and emerging risk exposures across all risk categories and all business areas
• Supports the Business in the design, implementation, and sustainment of controls within key processes and procedures
• Delivers effective control testing and monitoring, documentation of results, and tracking execution of action plans to resolution
• In compliance with Business Change Review (BCR) Program for change initiatives delivered as projects, participates (as appropriate) in key project activities and oversight/governance committees
• In partnership with the 2nd line and oversight functions, incumbent will provide advice and facilitate discussions with management and stakeholders on relevant internal and external events and collaborate to expediently resolve incidents, identify, and track issues to remediation and develop processes to create timely, complete, and accurate reporting
• Enables proactive, data-driven, risk-based decision making
• Partners with Business to proactively prepare for internal / regulatory requests, testing engagements, exams, and reviews
• Leads all aspects of a highly complex and diverse governance and control function for an area of significant risk, complexity or scope usually involving medium to long term planning
• Ensures a coordinated approach with other business areas, the broader organization and enterprise control functions
• Leads and coordinates the overall discipline and strategy for the respective areas of Business Governance and Control while aligning to the enterprise standard methodologies
• Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
• Strategic partner to leadership team on the management of the function, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management / enterprise areas
• Responsible to explore and deliver leading edge innovation and process improvements and build a 'learning' organization through leadership, coaching and mentorship
• Builds and cultivates an environment of innovation that leads to working smarter and simpler
• Instills an attitude of critical thinking, risk management and understanding the needs of TDS's colleagues
• Responsible for the provision of a challenging and stimulating environment, primarily through delivering quality leadership and empowering the team with the skills, tools, and resources to follow through with their ideas

Education & Experience

• Undergraduate degree preferred
• 10 + years related experience required
• Knowledge of the regulatory environment and requirements
• Build strong relationship with business partners and provide challenge and push back as needed
• Proven ability to successfully lead change and manage effectively in a matrixed environment
• Skillful communicator and influencer to build relationships, advance decision making, and effect change over time
• Highly motivated individual with a track record successfully implementing large scale globally sourced programs with superior results.
• Ability to work with a pool of experts and ensure high levels of service even when the effort crosses organizational boundaries
• Thrives in a fast-paced environment, managing multiple deadlines and priorities

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

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.

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.
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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
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.

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

Job Description:

Financial Data and Reporting Ops Analyst is responsible for overseeing the accuracy and timeliness of delivery for statements, fee disclosures, confirmations and other correspondence sent to 401(k) plan participants and sponsors.

• Complete inline quality assurance testing of various statements and correspondence to validate that information on the document matches data from the system of record

• Partner with line of business and product owners to resolve discrepancies between the document and system of record

• Review reporting to reconcile statements and correspondence ordered to match volumes delivered to clients

• Complete user acceptance testing for development of new correspondence and changes to existing templates

Responsibilities:

• Performs moderately complex activities supporting credit disputes, escalations, and tax reporting while following established written procedures and guidelines and ensuring accurate and timely delivery

• Researches and resolves moderately complex financial data requests or exceptions based on analysis of assembled data in an accurate and timely manner

• Performs routine analytics, report creation, and exception processing

• Identifies risk and opportunities for process improvement based on an understanding the work impacts other operational units and escalates risk concerns, as appropriate

• Provides quality service and support for internal business partners and external clients

Skills:

• Customer and Client Focus

• Oral Communications

• Written Communications

• Adaptability

• Attention to Detail

• Critical Thinking

• Problem Solving

• Active Listening

• Collaboration

• Result Orientation

• Stakeholder Management