VP, Business Supervision and Governance, Business Management, Corporate & Investment Banking

TD Bank; Toronto; On-site; CAD 120,000 - 180,000; Full time

Job summary

A leading financial institution seeks a Vice President in Investment Banking to spearhead risk management and supervisory activities. The role demands strong analytical and communication skills along with a comprehensive understanding of compliance and governance within financial markets. Ideal candidates will possess relevant regulatory registrations and the ability to thrive in a fast-paced team environment.

Qualifications

• FINRA Series 24 and 79 Registered, or commitment to obtain within 6 months.
• Experience in capital markets, compliance, audit, risk, control, and governance.
• Familiarity with Canadian and US capital markets regulatory landscape.

Responsibilities

• Ensure risks are managed and mitigated in daily activities and operations.
• Develop partnerships with Compliance, Legal, Audit, Risk, and Technology.
• Act as a liaison between Senior Executives and support teams.

Skills

Risk Management

Analytical Skills

Communication Skills

Problem-solving Skills

Interpersonal Skills

Education

Undergraduate Degree

CPA

MBA

Job description

TD Securities Corporate and Investment Banking provides a full range of financial advisory and capital-raising services to corporate and institutional clients globally. Our Relationship Managers work closely with our clients to understand their needs and bring them unique solutions to complex issues. The department is organized into areas of expertise by product, region, and industry.

The Business Management Team within Corporate & Investment Banking is responsible for providing ongoing strategic and operational support, as well as supervisory oversight, to front-line Investment Bankers and Senior Executives within the department, such that their focus can remain on providing optimal client coverage and execution. The team liaises with various TDS and TDBG support partners to advance the needs of the department as well as assist with rolling out any firm- or bank-wide initiatives.

Position Overview :

The Investment Banking group is a demanding environment and requires a self-starting, efficient person who works extremely well in a team, can manage multiple priorities at the same time, and thrives in a fast-paced, intense and exciting environment.

In this first line of defense (1A) role, the VP will work as a key member of the broader Business Management Team to establish a strong risk and control environment, supported by an effective supervisory program for the Corporate and Investment Banking business. The successful candidate will have a hands-on role in managing programs in support of the overall risk and control environment, acting as a business supervision center of excellence, including the completion of delegated supervision. The incumbent will act as a liaison between TDS support and control teams Senior Executives within the department and work closely with the Group Business Managers to oversee and execute business strategies, plans, and initiatives.

Key Accountabilities :

• Work in conjunction with Corporate and Investment Banking front-line professionals to ensure the business has adequately considered, managed, and mitigated risks in day-to-day activities, operations, products, and services and is operating within its risk appetite.
• Develop effective partnerships with the groups that support Corporate and Investment Banking – including 1B, Compliance, Legal, Audit, Risk and Technology – as well as foster strong working relationships with the Group Business Managers, Industry Teams, Product Teams, and Regional Offices.
• As part of the Center of Excellence, perform delegated business supervision and risk management activities.
• Think strategically by expanding the implementation of preventive controls and reducing overall reliance on only detective controls.
• Participate in the design and implementation of control testing within key processes to meet the firm's governance requirements.
• Provide support with audit and testing engagements from regulators and second- and third-line stakeholders, including providing remedial support for any findings.
• Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency through effective use of tools and technology.
• Demonstrate confidence while presenting regular and ad-hoc presentations, supervisory dashboards, and comfort when delivering training and completing conduct escalation conversations.
• Prepare dashboard reporting and business analysis and recommend sound business decisions and solutions based on the analysis completed.
• Be a leader and role model for junior supervision resources on the team.
• Think creatively to address unique or ambiguous situations and to find solutions to complex problems.
• Promote a culture of compliance, good governance, and respect for the bank’s risk appetite.

Specific Accreditations and Experience :

• FINRA Series 24 and 79 Registered, or commitment to obtain within 6 months.
• Experience in capital markets, compliance, audit, risk, control and governance or a related field.
• Be familiar with the Canadian and US capital markets regulatory landscape.
• Undergraduate Degree, CPA, MBA or other post-undergraduate education is preferred.

Other Qualifications / Skills :

• Understanding of financial markets and the business of Corporate and Investment banking.
• Understanding of the bank's three lines of defense model.
• Demonstrated ability to take a risk-based approach to decision making.
• Strong analytical, problem-solving, and critical thinking skills.
• An ability to communicate simply, directly, succinctly.
• Strong interpersonal and written / verbal communication skills.
• Takes ownership and accountability for the quality of their work.
• Has strong attention to detail.
• Enjoys working in a collaborative team environment.
• Ability to balance multiple, simultaneous priorities in a fast moving and demanding environment.

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