TD Securities · 17 hours ago
Governance & Control Specialist * - Insider Training Specialist (US)
United States
Full-time
Remote
Mid, Senior Level
$91K/yr - $136K/yr
7+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Governance & Control Specialist to manage governance and control activities within the Insider Threat Management Operations Support team. The role involves developing training and communications, managing a portfolio of governance initiatives, and ensuring compliance with internal and external requirements.
BankingFinanceFinancial Services
Responsibilities
The Governance & Control Specialist 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
Acts as a technical lead on key control initiatives
Develop and deliver training and communications and perform routine maintenance of program assets
Provide support to the organization by operating a shared mailbox
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
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
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
Qualification
Required
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
Background following published policies, standards, procedures and resource documents Fraud AML KYC training in background is HIGHLY preferred
Experience in leading the end-to-end development of training and communications in Power Point HIGHLY preferred
Proficiency in leading others in the development of training and communications content
Background in delivering training to audiences of all sizes through virtual or in-person facilitation
Exposure communicating with, and gathering and discussing feedback from, cross functional partners
Ability to assess support requests, consult with requesters and recommend solutions
Knowledge around evaluating training effectiveness survey results and developing action plans
Proficiency in ensuring the program is well managed, meets business priorities, and complies with internal / external requirements
Adobe Premiere Pro
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
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