Senior Manager, Governance & Control
The Senior Manager, Governance & Control oversees and leads a highly complex and diverse governance and control testing function for the following US Treasury businesses : US Liquidity Management, US Asset Liability Management, US Investments, US Capital Planning and Management (DFAST Stress Testing) and US Resolution and Recovery Planning. This role leads the development and oversees execution of quality control and regulatory compliance testing plans. Key skills associated with this role include strong analytical skills, attention to detail, ability to prioritize, strong organizational skills, ability to lead teams, and strong communication with stakeholders. Strong control testing and / or audit background required, with knowledge of Treasury related processes preferred.
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
- Oversees and leads a highly complex and diverse function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results
- Manages and oversees the overall discipline and strategy for the respective areas while aligning to the enterprise best practices
- Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
- Acts as a 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
- Sets operational team direction and collaborates with others to execute on common goals
- Focuses on longer-range planning for functional area (e.g. 12 months or greater)
Education & Experience :
Undergraduate degree preferred10+ years of relevant experienceDeep industry and business knowledge and expertise on risk and control functionsAdvanced knowledge of governance, risk and control procedures, strategies & tacticsAdvanced knowledge of risk management environment, standards, regulations and mitigationKnowledge of current and emerging trendsSkill in managing budgets and resource allocationSkill in mentoring, coaching and performance managementSkill in using analytical software tools, data analysis methods and reporting techniquesSkill in using computer applications including MS OfficeAdvanced ability to lead, plan, implement and evaluate program / project activities to ensure completionAbility to communicate effectively in both oral and written formAbility to work collaboratively and build relationships across teams and functionsAbility to work successfully as a member of a team and independentlyAbility to exercise sound judgement in making decisionsAbility to analyze, organize and prioritize work while meeting multiple deadlinesAbility to process and handle confidential information with discretionAbility to establish goals and objectives that support the strategic planAbility to contribute to strategic direction of the strategic initiatives and projectsPreferred Qualifications :
Audit experienceStrong Control Testing experienceTreasury experienceCustomer 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 strategyManages and plans activities that require alignment across multiple areasLeads the implementation of regulatory change management and provides guidance to the team in the development and / or integrated implementation of policies / procedures / changes across multiple business / functional areasLeads 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 managementEnsures all administration, control and compliance activities are complete and accurate to meet targets for own areaEnsures an integrated and aggregated view of all related business risk and control activities across the overall function providing escalations, recommendations, and decision support to leadershipForecasts programs / initiatives and demand, and coordinates prioritization of the portfolio / initiatives with key stakeholdersProvides functional / business level communications to ensure messages to stakeholders and / or employees are consistent, appropriate and aligned to business risk strategies and executive management directionProvides direction to complex, wide-ranging enterprise or cross-function / business projects as a SME and participates in designing, testing, and implementation of solutionsShareholder 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 scaleLeads interface and relationships with corporate and / or control functions to ensure alignment with enterprise and / or regulatory requirementsAssesses / identifies key issues and escalates to appropriate levels and relevant stakeholders and business management where requiredIdentifies, mitigates and reports on risk issues per enterprise policy / guidance and ensures appropriate escalation processes are followedEnsures 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 to cross-functional / enterprise initiatives as a SME helping to identify risk / provide guidance for complex situationsManages 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 managedOversees or leads the facilitation and / or implementation of action / remediation plans to address performance / risk / governance issuesProtects the interests of the organization identifies and manages risks, and escalates non-standard, high-risk transactions / activities as necessaryMaintains a culture of risk management and control, supported by effective processes in alignment with risk appetiteEmployee / Team Accountabilities :
Responsible for management of the overall team providing both leadership, guidance, and expertise; ensures team adheres to enterprise frameworks and methodologiesSupports team in staying knowledgeable on emerging issues, trends and evolving regulatory requirements and assesses potential impacts to the BankLeads 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 employeesLeads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and / or rewards performance in a timely mannerManages employees in compliance with all human resources policies, procedures and guidelines of conductSupports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successesRecruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectivesEstablishes 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 objectivesActs as a brand ambassador for your business area / function and the BankPhysical Requirements :
Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100%
Domestic Travel OccasionalInternational Travel NeverPerforming sedentary work ContinuousPerforming multiple tasks ContinuousOperating standard office equipment - ContinuousResponding quickly to sounds OccasionalSitting ContinuousStanding OccasionalWalking OccasionalMoving safely in confined spaces OccasionalLifting / Carrying (under 25 lbs.) OccasionalLifting / Carrying (over 25 lbs.) NeverSquatting OccasionalBending OccasionalKneeling NeverCrawling NeverClimbing