TD Securities (USA) LLC
Director Governance & Control
TD Securities (USA) LLC, New York, New York, us, 10261
Director Governance & ControlWork Location : New York, New York, United States of America
Hours : 40
Line of Business : Governance & Control
Pay Detail : $170,000 - $200,000 USD
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.
Job Description :
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 considers, manages, and mitigates 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 provides 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, provides advice and facilitates discussions with management and stakeholders on relevant internal and external events and collaborates 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 for exploring and delivering 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 relationships 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.
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Hours : 40
Line of Business : Governance & Control
Pay Detail : $170,000 - $200,000 USD
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.
Job Description :
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 considers, manages, and mitigates 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 provides 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, provides advice and facilitates discussions with management and stakeholders on relevant internal and external events and collaborates 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 for exploring and delivering 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 relationships 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.
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