Senior Manager, Governance & Control (financial Crimes Prevention Operations)

Senior Manager, Governance & Control

The Senior Manager, Governance & Control oversees and leads a highly complex and diverse governance and control functions for an area with significant risk, complexity or scope usually involving medium to long-term planning, ensuring an integrated approach with other business governance and control areas, the broader organization and enterprise control functions. This role will also work very closely with key stakeholders in the Financial Crime Prevention Operations, compliance, business transformation, and other project leads. They will need the ability to communicate effectively at many levels throughout the organization, including executives.

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)

Undergraduate degree preferred

10+ years of relevant experience

Deep industry and business knowledge and expertise on risk and control functions

Advanced knowledge of governance, risk and control procedures, strategies & tactics

Advanced 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

Advanced 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

Financial Crimes Prevention experience

Experience storytelling via Power Point

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 of policies/procedures/changes across 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 the portfolio/initiatives with 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 or cross-function/business projects as a SME and participates in designing, testing, and implementation of solutions

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 to cross-functional/enterprise initiatives 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 address performance/risk/governance issues

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 effective processes in alignment with risk appetite

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

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.

TD is one of the world's leading global financial institutions and is the fifth