Vice President, Wholesale Banking Operational Risk, TD Securities

TD Bank Group New York City , NY 10008

Posted 2 months ago

Job Requirements

Effective Operational Risk Oversight

  • Develop subject matter expertise in ORM, including regulations and TD frameworks and policies.

  • Challenge local RCSAs, KIs, root cause and remediation plans for operational risk events.

  • Monitor and challenge change initiatives including the implementation of new products in the region.

  • Leverage regional risk intelligence with control environment to scale Enterprise Scenario Analysis for local Operational Risk Stress Testing.

Governance

  • Execute governance activities for US Regional oversight committees.

Job Description

This role provides independent review, consultation and challenge of the business' execution of the ORM Framework. This position reports to the Head of US Wholesale ORM and focuses on the TD Securities business in the US region.

A key component of this role is to help ensure that local business and regulatory needs are met, while ensuring alignment with the Bank's global ORM Framework. This role requires strong partnerships with 1st and 2nd lines of defense as well as local US regulators.

This role is responsible for effectively challenging the implementation of a broad spectrum of ORM programs and activities in the region, including risk and control self-assessments (RCSAs), key indicators (KIs), operational risk events and quality assurance through key control testing. The position requires effective communication as well as expertise in risk management, financial markets and regulations.

Qualifications

  • FINRA license (if none, Series 99 may be obtained within a reasonable period after starting)

  • 5 or more years of progressive bank or broker-dealer experience in a risk, operations, technology, audit, legal/compliance, finance, or business management/trading supervision role

  • Effective communication and interpersonal skills with proven ability to collaborate and challenge in a global business model

  • Experience with process review, automation, redesign and innovation

  • Creative thinking, analytical and problem solving skills, as well as the ability to see the "big picture", identify areas for improvement and implement effective solutions that align with both enterprise programs and segment strategies

  • Strong attention to detail and the ability to consider how work underway impacts other areas

  • Excellent organizational skills and time management skills to meet deadlines and adapt to changing priorities

  • Strong awareness of risk management, regulatory and financial industry developments

  • Proficient in Word, Excel, PowerPoint and Visio

Employment Type

Regular


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Vice President, Wholesale Banking Operational Risk, TD Securities

TD Bank Group