QU-088 Manager, Risk Change Management Governance and Controls (VP, TDAM)

QU-088 Manager, Risk Change Management Governance and Controls (VP, TDAM)

19 Mar

19 Mar



Company Overview

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Department Overview

TD Asset Management (TDAM), a member of TD Bank Financial Group, is a leading North American investment manager offering progressive investment solutions to both institutional and individual investors. For over two decades, the organization has established competitive market positions in active,

quantitative and passive portfolio management. As of December 31, 2020, TDAM and its affiliates manage over $400 billion in assets on behalf of pension, insurance, endowment/foundation and corporate clients, as well as high-net worth clients and retail mutual funds. Mutual Funds are available through TD Canada Trust branches as well as from its Wealth Management affiliates and also through leading investment dealers, independent brokers, advisors and financial planners.

Within TDAM, the oversight of controls and the management of regulatory and operational risk exposures are managed by the Regulatory & Policy Governance (“RPG”) Group within the business, a 1B group. Within RPG, risk change management is part of the Risk Management Governance and Controls team. The Risk Management Governance and Controls team's accountabilities include:

- Change Management Implementation support for the Business;

- Issues management oversight including reporting;

- Reputational Risk governance;

- Coordination of internal and external examinations and findings resolution monitoring / reporting; and

- Controls and governance support for strategic initiatives of the business.

Job Description

Acting as a subject matter expert, the successful candidate for the Manager Risk Change Management Governance and Controls will utilize their business, regulatory and asset management industry knowledge to provide guidance and effective challenge to the business. The role will be instrumental in maintaining and continuously improving the governance program within TD Asset Management as the business launches new products, considers new areas of distribution, makes changes to key processes or as issues are identified. This role will provide guidance on controls required to be built in order to manage the new inherent risks from the change/issue. The successful candidate will act as a trusted subject matter expert with the ability to identify, challenge, document and communicate risks to ensure appropriate requirements and controls that mitigate risks, in accordance with the risk appetite, are developed.

Job Description/Accountabilities:

The primary role of the Manager Risk Change Management Governance and Controls is to:

- Support TD Asset Management-wide on business and product change implementations by providing operational risk, control risk and regulatory rule guidance to the business and ensuring an effective control framework is in place after the change

- Represent RPG as a subject matter expert on change projects including providing risk challenge with relevant stakeholders to ensure risk, control and regulatory considerations are satisfied and conducting post implementation reviews

- Be the subject matter expert/first point of contact for knowledge on processes, key controls and operational activities throughout the business

- Oversee the management of operational risk events (errors) that occur within the business including challenging remediation and mitigation plans identified

- Lead the remediation process in collaboration with the business when control gaps are identified through errors and support the business in designing action plans to ensure improvements are identified while embedding a strong control environment

- Conduct business process reviews on areas where frequent process gaps are being identified through errors, other testing and monitoring, or regulatory/industry guidance

- Maintain the inventory of all the key controls within the business and re-assess when required

- Be a point of contact that coordinates and drives discussions with second line partners and business stakeholders on control requirement inclusion

- Act as an expert in focusing conversations on solutions that satisfy internal policies

- Provide subject matter expertise to the team conducting the documentation of the key processes within the business through the Process Risk Control & Self-Assessment

- Bring a strong understanding and experience of managing risk, challenge to the business and a strong focus on risk governance and oversight

- Build and maintain strategic relationships with the business and other members of the Business Governance & Portfolio Oversight team including the Regulatory Change team


- Deep asset management knowledge including mutual funds, with 10+ years of relevant experience

- Highly motivated individual with a proven track record to deliver results

- Expert knowledge of governance, risk and control procedures, strategies & tactics

- Strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions

- Strong leadership, persuasion, presentation and communication skills

- Ability to exercise sound judgement in making decisions

- Collaborative working style and the ability to facilitate groups with competing agendas to gain consensus and mitigate risks to TDAM/TD.

- Effective stakeholder management with a professional approach; ability to interact with all levels within the organization

- Ability to analyze, organize and prioritize work while meeting multiple deadlines

Specific Educational Requirements/Accreditations:

- Degree, preferably in business, finance

- An industry designation, such as a CFA and/or MBA would be beneficial

- Experience in or knowledge of the investment management business

- Risk management skills

- Familiarity with investment industry regulations





At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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