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Governance & Control Specialist - US Treasury 1B Testing

Governance & Control Specialist - US Treasury 1B Testing

TD BankMount Laurel, NJ, US
1 day ago
Job type
  • Full-time
Job description

Governance & Control Specialist-Us Treasury 1B Testing

The Governance & Control Specialist-US Treasury 1B Testing manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies / processes and / or initiatives to meet governance and control guidelines. This role supports quality control and regulatory testing for the following US Treasury businesses : US Liquidity Management, US Asset Liability Management, US Investments, US Capital Planning and Management (DFAST Stress Testing) and / or US Resolution and / or Recovery Planning. Experience planning and executing quality control and regulatory compliance testing are required for this role, including developing testing schedules and test scripts, executing testing and reviewing testing performed by other team members, and reporting results / findings. Key skills associated with this role include strong analytical skills, attention to detail, ability to prioritize, strong organizational skills, and strong communication with stakeholders. Control testing and / or audit background required, with knowledge of Treasury related processes preferred.

Depth & Scope :

  • Highly seasoned professional role requiring substantial business knowledge / expertise in a complex field and knowledge of broader related areas
  • Integrates knowledge of the enterprise sub-function's or business line's overarching strategy in developing solutions across multiple functions or operations
  • Ability to work collaboratively and build relationships across teams and functions
  • Interprets internal / external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
  • Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
  • Leads cross-functional teams or projects with significant resource requirements, risk and / or complexity
  • Independently manages end-to-end functional programs
  • Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
  • Works autonomously as the lead and guides others within area of expertise

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 current and emerging competitor and market trends
  • Ability to establish goals and objectives that support delivery execution for multiple teams
  • Ability to contribute to the direction of the function and provide advice to the team and delivery leadership
  • Ability to lead, plan, execute and evaluate project activities to ensure completion of initiatives
  • Skill in mentoring, and performance management
  • Skill in using analytical software tools, data analysis methods and reporting techniques
  • Skill in using computer applications including MS Office and industry standards
  • 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 drive team execution
  • Ability to exercise sound judgement in making decisions
  • Ability to analyze, organize and prioritize work while meeting multiple deadlines

    • Preferred Qualifications :

  • Control Testing experience
  • Audit experience
  • Treasury experience

    • Customer Accountabilities :

  • Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy
  • Develops and documents a comprehensive inventory of processes and controls with clearly-defined owners and roles and responsibilities for each process and control
  • Participates in the intake of applicable regulation, assessment of impact to the business line, and the comprehensive mapping of associated controls to rules and regulations
  • Reviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions, processes and controls
  • Leads the integrated execution of policies / procedures / changes across multiple functional areas
  • Provides direction to complex, wide-ranging enterprise or cross-function / business projects as a SME, identifies risk / provides guidance for complex situations and participates in designing, testing, and implementation of solutions
  • Acts as lead for area of specialization with industry, enterprise, and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space

    • Shareholder Accountabilities :

  • Ensures programs / policies / practices are well-managed, meet business needs / priorities, and comply with internal / external requirements
  • Exercises discretion in managing communication / correspondence, information and all matters of confidentiality
  • Leads research projects; supports the development / delivery of materials and presentations to management or broader audience
  • Conducts analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs, policies, or practices
  • Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions
  • Manages relationships within and across various business lines, corporate and / or control functions and ensures alignment with enterprise and / or regulatory requirements
  • Protects the interests of the organization identifies and manages risks, and escalates non-standard, high-risk transactions / activities as necessary
  • Maintains a culture of risk management and control, supported by processes in alignment with risk appetite
  • Is knowledgeable of and complies with Bank Code of Conduct

    • Employee / Team Accountabilities :

  • Participates as a member of the team, supports a positive work environment and ensures timely communication
  • Provides leadership as a SME and participates in knowledge transfer within the team / business unit
  • Keeps current on emerging trends / developments and grows knowledge of the business, related tools and techniques
  • Keeps others informed about the status / progress of projects
  • Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
  • Contributes to a fair, positive and equitable environment
  • Acts as a brand ambassador for your business area / function and the Bank

    • Physical Requirements :

    Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100%

  • Domestic Travel Occasional
  • International Travel Never
  • Performing sedentary work Continuous
  • Performing multiple tasks Continuous
  • Operating standard office equipment - Continuous
  • Responding quickly to sounds Occasional
  • Sitting Continuous
  • Standing Occasional
  • Walking Occasional
  • Moving safely in confined spaces Occasional
  • Lifting / Carrying (under 25 lbs.) Occasional
  • Lifting / Carrying (over 25 lbs.) Never
  • Squatting Occasional
  • Bending Occasional
  • Kneeling Never
  • Crawling Never
  • Climbing Never
  • Reaching overhead Never
  • Reaching forward Occasional
  • Pushing Never
  • Pulling Never
  • Twisting Never
  • Concentrating for long periods of time Continuous
  • Applying common sense to deal with problems involving standardized situations Continuous
  • Reading, writing and comprehending instructions Continuous
  • Adding, subtracting, multiplying and dividing Continuous

    • The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

    Who We Are : TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches / stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues

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