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Manager II, Governance & Control (US)

Manager II, Governance & Control (US)

TD BankWilmington, DE, US
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Manager II, Governance & Control

The Manager II, Governance & Control leads and manages a governance and control team, overseeing diverse functions in an area of moderate risk, complexity or scope usually involving short to medium-term planning. This role ensures an integrated approach with other business governance and control areas, the broader organization, and enterprise control functions.

Depth & Scope :

  • 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
  • Leads and manages a team of professionals for a diverse group set of G&C functions in an area of moderate risk, complexity or scope, while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results
  • Presents and makes recommendations to senior management and executives
  • Ensures an integrated approach with other business areas, broader organization, and enterprise as appropriate
  • Coordinates and prioritizes multiple initiatives and manages resource allocation
  • Establishes effective relationships with different Stakeholders, Business Sponsors, Executives and LOB
  • Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
  • Deep knowledge and understanding of businesses / technology, and organizational practices / disciplines
  • Focuses on medium-term planning and business issues (e.g. 6-12 months)

Education & Experience :

  • 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 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
  • 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
  • Customer Accountabilities :

  • 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
  • Shareholder Accountabilities :

  • 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
  • Employee / Team Accountabilities :

  • 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
  • Physical Requirements :

    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
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