Senior Analyst, Volcker Program Governance

Socket.dev; Toronto; On-site; CAD 82,000 - 115,000; Full time

Job summary

TD Securities in Toronto seeks a Senior Analyst to support Volcker Program governance and risk oversight, coordinating with Business, Risk, Product Control, Technology and Compliance. You will help implement program enhancements, manage monitoring processes, and communicate project plans to stakeholders.

The role requires strong risk/risk-management background, ability to influence decisions, and excellent collaboration across teams.

Qualifications

• Understanding of a global markets business and related product knowledge.
• Strong compliance and/or risk management background.
• Some familiarity with the Volcker Rule and required metrics/monitoring.
• Excellent communication and influencing abilities to drive decisions.
• Initiative-taking and experience implementing program enhancements.
• Ability to coordinate with experts across boundaries to deliver results.
• Thrives under competing deadlines with strong organizational skills.
• Proficiency with Microsoft Excel, Word, PowerPoint, and SharePoint.
• Undergraduate degree or equivalent work experience; graduate degree is an asset.

Responsibilities

• Provide governance and control support to Volcker Program governance.
• Assist in implementing governance enhancements across programs.
• Coordinate activities across multiple areas and programs as needed.
• Review processes and connect issues to improve standardization of controls.
• Build relationships with 1st and 2nd line partners to meet governance delivery needs.
• Identify and assess risks, aiding development of mitigation strategies.
• Assist in regulatory readiness, testing, exams, and reviews.
• Collaborate with the broader organization and corporate controls function.

Skills

Global markets

Compliance/risk

Volcker Rule

Stakeholder comms

Cross-functional

Time management

Problem solving

Interpersonal skills

MS Office

Adaptability

Education

Undergraduate degree or equivalent

Graduate degree asset

Tools

Microsoft Excel

Microsoft Word

PowerPoint

SharePoint

Job description

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Governance & Control

Pay Details: $81,600 - $115,200 CAD

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. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

The TDS Governance and Control team is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, managed, and mitigated risks in day-to-day activities, operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite.

Members of TDS Governance & Control require sufficient expertise to review and assess whether the Business is adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations.

Job Description

The Senior Analyst supports Volcker Program Governance and other programs across TD Securities (Globally) ensuring a strategic, risk-based approach for alignment with regulatory standards.

The position has some direct interaction with stakeholders across various functions including the Business, Risk, Product Control, Technology, and Compliance. This position will require an individual who can collaborate and engage effectively in delivering and enhancing Volcker and other Program procedures, monitoring processes, controls, policies and developing and communicating a project plan/tracker and associated updates to a variety of stakeholders.

Job Accountabilities

• Provides business governance and control related support to team management within Volcker Program governance.


• Assists in the implementation of Volcker governance enhancements in support of the overall Volcker Program.


• Performs a set of governance and control work activities requiring coordination across multiple areas for other programs and projects as required.


• Reviews processes and controls and connects the dots across issues and control deficiencies in order to increase standardization of processes and controls.


• Build and maintain constructive relationships with 1st and 2nd line partners as well as other key stakeholders to ensure Volcker Program governance delivery requirements are understood and met.


• Partner with stakeholders to ensure risks are adequately identified, assessed, and to support the development of risk mitigation strategies across programs.


• Support Volcker program in preparing for internal / regulatory requests, testing engagements, exams, and reviews.


• Support a coordinated approach with other business areas, the broader organization and enterprise control functions

Job Requirements

• Understanding of a global markets business in general including some product knowledge.


• Strong compliance and/or risk management assessment background.


• Some level of understanding of the Volcker Rule and its applicability to a global markets business and associated required metrics production and monitoring processes.


• Skillful communicator and influencer to build relationships, advance decision making, and effect change over time.


• Initiative-taking individual with a record of successfully assisting with implementing program enhancements.


• Ability to work with a pool of experts and ensures elevated levels of service even when the effort crosses organizational boundaries.


• Thrives in a challenging environment, managing multiple deadlines and priorities.

• Strategic thinking with solid problem solving and decision-making skills.


• Skilled at “connecting the dots” across issues in support of solutions and development ofstrategies to effectively manage and mitigate risk.


• Excellent interpersonal skills to effectively interact at all levels of the organization, coupledwith a passion to build strong working relationships and contribute to a strong team environment.


• Strong organizational/time management skills.

• Flexibility to quickly adapt to changing requirements and execute on non-routine ad-hoc deliverables.


• A positive \"can do\" attitude with a curiosity and willingness to learn and grow, as well as share knowledge and experience.


• Proficiency in Microsoft applications (Excel, Word, PowerPoint), and Share Point.

• Undergraduate degree or equivalent work experience


• Graduate degree would be an asset.

Who We Are:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.

Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only): Sans Objet