Governance & Control Specialist - Delivery Operation Processes jobs at Td Bank in Canada, Toronto

Job Description:

We are seeking a highly motivated compliance professional to join our global Compliance Strategy and Operations team. In this role you will be responsible for designing, scaling, building, implementing, and maintaining an adaptive and mature Risk Compliance Management program. You will empower first-line risk owners and compliance oversight functions to build and maintain mature compliance programs. You will be responsible for identifying potential compliance risks and working with relevant teams to develop mitigation strategies. Must have a strong background in drafting compliance frameworks, policies, standards, and procedures as you will play a critical role in creating a well-documented scalable, sustainable, and repeatable global compliance framework. You will oversee and manage the global compliance governance document inventory. In this role you will also lead the development and execution of the strategic annual compliance plan. Must be able to work well in a team dynamic to ensure the seamless execution of complex, high-impact projects. Must have strong communication, organization, and leadership skills and the ability to work in a fast-paced environment. Demonstrated experience in risk management, risk compliance self-assessment, program effectiveness assessment, and control design effectiveness assessment also desired.

:

• Support the global Compliance Program in defining and achieving departmental objectives:
  • Design operational risk management plans and the annual compliance strategic plan
  • Develop document retention solutions
  • Create and maintain inventories, libraries, and archival systems
  • Improve and scale compliance management routines, workflows, and processes to simplify, streamline and create efficiencies
  • Liaise with risk, compliance, ERM/ORM, legal, and audit partners as required
  • Drive and support the implementation of enterprise-wide transformation projects
  • Perform staffing skills assessments and determine departmental resource gaps
  • Develop and maintain a Roles and Responsibilities matrix
• Take ownership of Compliance Governance Documentation
  • Reviewing, editing, drafting, and maintaining relevant policies and procedures
  • Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk appetite
  • Lead the development of a structured approach to policy management to ensure clarity and consistency
  • Take owner ship of the policy on policy, by designing a policy development framework, approval process, implementation and communication strategy, enforcement and monitoring, review and update management routines, style guide, templates
  • Manage the global Compliance Online Document Inventory, manage the upload process, perform health checks, and provide data driven reports monthly
  • Drafting Procedures that define clear accountability, ownership, roles, and responsibilities and include processes that are sustainable, scalable, and repeatable
  • Leverage the results and output from Risk Control Self-Assessments and Program Effectiveness Assessments to facilitate update process of impacted governance documents
  • Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory, and industry best practices
• Lead and draft responses to inquiries from regulators and respond to internal audit findings
• Develop and use metrics (KRIs/KPIs) to oversee and measure first-line performance and the consistent implementation of compliance standards, must have a deep understanding of Risk Control Self-Assessment, Control Effectiveness Assessment, Program Effectiveness Assessment methodologies and GRC tools
• Strong Project management skills to ensure timelines and deadlines are met
• Independently handle projects, work without direct oversight or intervention, manage competing priorities, and communicate effectively with internal audiences,
• The ability to work in a team environment
• Performs other duties and responsibilities as assigned

Education & Experience

• J.D. from an accredited law school
• Minimum 7+ years of experience in governance, or risk management within the financial services or FinTech industry
• Prior experience drafting responses and preparing evidence packages for regulators and internal audit
• Excellent verbal and writing skills with a demonstrated history of independently writing quality policies, and procedures
• Strong understanding of regulatory frameworks, risk management best practices, or mature Compliance Management Systems
• Advance proficiency with GRC platforms (preferably ServiceNow and Archer)
• Consistently delivers high-quality and timely work with strict attention to detail and a strong sense of ownership and accountability
• Intellectually curious, provides insightful solutions as well as information
• Learns and adapts easily, flexible, and comfortable with ambiguity
• Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
• Prior project management experience
• Ability to work in a diverse and inclusive workspace
• Ability to work in a team dynamic and be a team player
• Proficient in Word, Excel, PowerPoint, Outlook, Teams, and Microsoft Office Suite

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

Job Description:

Description

• Review and analyze current network designs to ensure they are in line with TD Standards and Controls
• Work with Project teams to understand and accommodate application architecture and the App’s specific requirements for Azure/GCP networking
• Work with security team to understand and accommodate network security requirements for application
• Work with network engineering team to help them build and troubleshoot Cloud networks (focus on Azure and GCP)
• Define network governance model within an infrastructure as code environment.
• Opine on designs that account for the end-to-end solution of a system that is in line with the business and security objectives, which could include the design of the functional architecture for multiple functions of the enterprise.
• Analyzes the chosen technologies against the implied target state and leverages deep operational knowledge to identify technical and business gaps from a security perspective
• Establish requirements and drive implementation of network monitoring and management infrastructure for both availability and performance management within the content of the overall Azure cloud implementation
• Will require both operational and design skills to help execute the intended architecture in a secure and maintainable way on the Azure/GCP/AWS platforms.
• Review requests for firewall rules and/or security exceptions (e.g. URL filtering exceptions, SSL decryption bypass, Pull Requests). Work with the client to ensure the requests meet the required security standards
• Oversee, monitor, enforce enterprise frameworks and methodologies that relate to technology controls / information security activities
• May be required to provide after-hours support for firewall Rules review.
• Participate in business specific / cross-functional / enterprise initiatives helping to identify risk and provide guidance
• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency especially of existing processes
• Participate in the investigation of Information Security Incidents and development ofremediation/preventionmechanisms

Qualifications:

• 10+ years of experience as a full time IT professional
• 3+ years of experience designing and supporting Azure environments, including IaaS and PaaS
• Thorough understanding ofnetworking/firewallingconcepts and network security deployment strategies, including both traditional on premises and cloud deployments.
• This includes a detailed understanding of layers 3/4 and 7.
• Knowledgeable of cloud and hybrid-cloud implementations including IaaS, PaaS and SaaS
• Demonstrable experience deploying enterprise workloads to Azure and/or GCP
• Ability to understand network security standards and effectively apply these as part of network security governance
• Understanding and experience working with Infrastructure As Code – ability to review and understand YAML/JSON files and templates as they pertain to networking. Familiarity with Bitbucket and GitHub is a plus
• Hands on experience using the Azure administration portal
• Understand product offerings from Azure/GCP/AWS and vendor partners
• Have intimate knowledge of Cloud Micro-segmentation and Cloud network automation
• Have intimate knowledge of Azure networking services or and offerings, and best practices and patterns for Azure cloud-native network design, Azure firewall, azure private link, VPN gateways, Network Watcher, Azure Monitor.
• Have intimate knowledge of cloud tools and capabilities (SIEM, SOAR, EDR and similar) and integration requirements required to automate cloud on-boarding and ongoing security operations
• Must have extensive working experience with Microsoft Office technologies
• JIRA experience is a plus

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

Pay Details:

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.

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.

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.

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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

Targeted sales training is provided where you will build your sales skills and credit knowledge. Our comprehensive training will ensure you smoothly integrate within TD's employee focused corporate culture and your new team.Your Sales Manager is committed to your success and will work closely with you by making joint sales calls and conducting monthly coaching sessions. You will work from a sales management system which has been designed specifically for our sales channel to enable your success.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

Targeted sales training is provided where you will build your sales skills and credit knowledge. Our comprehensive training will ensure you smoothly integrate within TD's employee focused corporate culture and your new team.Your Sales Manager is committed to your success and will work closely with you by making joint sales calls and conducting monthly coaching sessions. You will work from a sales management system which has been designed specifically for our sales channel to enable your success.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

JOB DESCRIPTION

Primary Responsibilities

• Support the strategy and delivery of Wealth's various Road to Strong workstreams and initiatives. Represent Wealth on the enterprise related working groups and support the coordination of Wealth work efforts to meet program requirements.

• Support the delivery of new business and regulatory initiatives, including partnering with business and Control Partners to lead or represent Wealth Advice, through the initiative life cycle.

• Work closely with other Senior Managers supporting the Wealth Road to Strong initiative, assessing risk and control attributes, and helping Wealth achieve target operating model and regulatory expectations.

• Develop, maintain, and implement robust policies and procedures to support TD Wealth while promoting a sustained culture of integrity and ethics.

• Conduct ongoing reviews of processes and controls, identify gaps, and drive initiatives to strengthen governance and controls.

• Partner with Governance & Control and other risk partners to propose recommended changes to policies, procedures, and to address potential gaps.

• Effectively manage ad-hoc projects or tasks of varying complexities within established deadlines.

• Report on program milestones, achievements, and challenges to executive stakeholders.

• Demonstrate a strong understanding and promote awareness of key operational risks. frameworks/policies and risk appetite to support a strong risk culture.

• Anticipate emerging issues, trends, and evolving regulatory requirements to identify new opportunities and operational impacts to the business.

JobRequirements/Qualifications/Skills/Experience/Education

• The ideal candidate should have 10+ years of prior experience in financial services and have related experience in Audit or testing, the Wealth business, regulatory environment, risk management, governance, and controls.

• University degree

• Audit/Controls experience is considered an asset

• Deep understanding of risk management and experience in creating effective risk polices.

• Expertise in analytical reasoning and risk mitigation.

• Superior communication skills with experience in writing policy and/or procedures and the ability to communicate information and key messages in a clear and compelling way to suit different audiences.

• Strong business acumen and analytical capabilities – ability to consolidate information into clear, concise analysis in support of business decisions

• Strong interpersonal skills, able to build relationships, effectively interact, influence, and motivate individuals at all levels of the organization to make an impact.

• Detail-oriented with excellent organization skills and ability to effectively manage work under tight timelines and changing priorities.

• A logical and strategic thinker with strong critical reasoning skills

• Self-motivated,resourceful team player with high energy and ability to work independently.

• Comfortable leading through transformational change and recognized as a champion for continuous improvement.

• Knowledge of the Wealth businesses, processes, systems, and controls.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

Company Description:

With more than 3,500 people in 13 offices around the world, TD Securities provides a wide range of capital market products and services to corporate, government and institutional clients who choose us for our knowledge, innovation and experience in the following key areas of finance:

Investment and Corporate Banking

Capital Markets

Interest Rate, Currency and Derivative Products

Our services include the underwriting and distribution of new debt and equity issues, providing advice on strategic acquisitions and divestitures, and executing daily trading and investment needs.

is looking for ato contribute to the build of applications from scratch as well as to maintain them.

Role Responsibilities:

• Application design and development activities. Hands-on experience with Java/Springboot applications.

• Develop and document a detailed solution design within SDS, impart your subject matter expertise throughout life cycle.

• Expert knowledge of the business, broader organization, technical environment, standards, processes, tools, procedures, multiple programming languages, operating systems, solutions design and other relevant technology areas from adesign/support/solutionsperspective.

• Readiness and motivation to work autonomously in a lead capacity on a diverse range of activities (e.g. design, support of technical business solutions) and can be relied on to coach, educate and monitor the work of others.

• Primary subject matter expertise in multiple areas; you're seasoned in counselling clients and project teams on all aspects of research, analysis, design, software support, development of technical solutions.

• Strength coaching and advising clients, partners and project teams, capable of being an internal expert.

• Participate in complex applications and systems development, programming.

• Propose solution options; generate stakeholder support.

• Produce top-notch functional, technical and user interface designs.

• Take business, Enterprise Architecture, system performance and development standards requirements, then develop functional, technical and user interface designs for an application and/or system.

• Review technical deliverables for quality throughout detailed design and development phase, identify gaps or redesign as needed.

• Define metrics and performance goals with technology partners and peers.

• Respect TD's technology delivery practices and standards, project management disciplines, business technology architecture, and risk and production capacity – this includes thorough project requirements, documentation, scope estimates and costs.

• Deliver effective and efficient solutions by meeting milestones and ensuring project deliverables are on time, within budget, and adhere to the corporate quality and security standards.

• Conduct code reviews to address quality, standards compliance, reusability and ease of maintenance, Operational Readiness Reviews, and L3 production troubleshooting support.

• Support knowledge management processes and ensure knowledge is codified, monitored, tracked and managed.

• Ensure design leverages existing reusable components, traces back to business requirements, and that new modules are designed with reusability in mind.

• Identify and address any issue that affects the integrity of the application (e.g.cross-capability/releaseissues).

• Lead, Inspire and Mentor team members on the use of Software Development best practices and Agile practices.

Must Have Skills:

• 10+ years development and End to End design experience (J2EE, Java 8)

• 10+ frameworks like Spring, Spring MVC, Spring boot, Spring Security (OAuth, LDAP)

• 5+ years RESTful API

• 5+ years database knowledge preferred oracle

• Hands- on experience with development tools and frameworks such as Maven, Jenkins, Gradle, Git, and Nexus.

• 3+ years building kafka based application(Kstream/producer-consumer)/MQ

• Strong knowledge of core Java

• Experience working on Banking Domain projects

• Engage, coordinate, and manage change across multiple groups

• Act as a leader to junior members of the team

Good to Have:

• Building/Worked on File Processing applications

• Agile/Waterfall and SDLC/PMLC processes

• Hands- on experience of SSO, MFA, PingFed, OIDC, OAuth, API gateway

• Continuous Integration and Test-Driven Methodologies

BS/BA degree in Computer Science, Engineering, Mathematics or equivalent work experience.

Additional Information:

Join in on what others in TDS Technology are doing:

• Inspire a positive work environment and help champion quality, innovation, teamwork and service to the business.

• Learn voraciously, stretch your thinking, share your knowledge and educate others.

• Communicate and collaborate with both technical and non-technical professionals.

• Cultivate winning relationships by building trust with business and technology partners.

• Share our commitment to productivity, effectiveness and operational efficiency

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.