Senior Manager, Conduct Review Program, Governance

Senior Manager, Conduct Review Program, Governance & Controls
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Senior Manager, Conduct Review Program, Governance & Controls
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TD
Senior Manager, Conduct Review Program, Governance & Controls
Join to apply for the
Senior Manager, Conduct Review Program, Governance & Controls
role at
TD
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Pay Details
We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.
Work Location :
Singapore, Singapore
Hours
40
Line Of Business
Governance & Control
Pay Details
We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.
Job Description
Department Overview:
TD Securities' (TDS) Governance and Control is a diverse and dynamic group of individuals, whose varied talents and experiences enable us to provide critical infrastructure services that support and/or control the trading, investment, and corporate banking functions of TD Securities. We foster a culture of diversity, inclusion, and community giving.
The Governance & Control (1B) team partners with the Business (1A) and other groups globally to mitigate risk and deliver world class service to our global client base. Additionally, we ensure the Business adequately consider, manage, and mitigate the risks in day-to-day activities, operations, products, and services, and is operating within risk appetite.
The Conduct review program continues to evolve and supports the reporting of conduct themes and insights to enable preventive solutions where required, across TD Securities. The program focuses on developing consistent practices on employee coaching and supervisor training on how conduct should be escalated and managed.
If you are industrious, collaborative, innovative, and enjoy visionary thinking, while also maintaining a commercial view on the market, joining our team could be an ideal opportunity for you.
Role Details
The Senior Manager, Conduct Review Program reports into the Global Head of Culture and Conduct Risk, and has regional (local) reporting into Head of Governance and Control, Asia Pacific. The primary role is to create an optimal environment for Conduct and Culture Risk Management for all business activities and associated support functions, ensuring that conduct and culture risk related policies and standards are consistent with business strategies and priorities.
In the Asia Pacific region, this role will work closely with regional leadership to proactively monitor, identify, manage, and mitigate conduct and culture risk subject to local regulatory expectations. They will also chair senior leadership meetings and committees to inform and influence Global Senior Executives. The role is accountable for managing an end-to-end closed loop process to manage the Conduct Risk Program for the Asia-Pacific region which includes identifying themes and trends in each jurisdiction that could potentially lead to Conduct issues and work collectively with stakeholders to mitigate the risk of such issues.
In additional, the role will lead global initiatives and work with team members across various geographies, business and Technology stakeholders to ensure a consistent approach to how TD manages and mitigates conduct and culture risk. The role is also accountable to supporting Fraud and Insider Risk as required.
Job Accountabilities
Build and cultivate an environment of innovation that leads to working smarter and simpler
Instill an attitude of critical thinking, risk management and understanding the needs of TDS's colleagues
Ability to influence change and develop strong interpersonal relationships with the business, team members and key partners
Foster an effective, transparent culture of risk awareness, accountability, ethics, integrity, and conduct
Conduct Program
Manage regional end-to-end closed loop process to monitor, manage and enhance the conduct risk program (promoting proactive oversight) across all APAC business segments
Assist in executing annual strategic plans for the conduct and culture programs including programs instituted by regulatory authorities in the region
Monitor compliance with enterprise conduct and culture policies, guidelines and frameworks, ensuring industry and regional regulatory requirements are met
Support the refresh of conduct and culture programs per the Enterprise Conduct Risk Management Framework; Examples: conduct risk register, conduct risk committee mandates
Lead the design, implementation, and sustainment of controls within key processes and procedures that mitigate conduct and culture risk in line with regulatory programs including, but not limited to, Individual Accountability and Conduct.
Perform thematic reviews to ensure design and operating effectiveness of conduct-related processes and controls.
Provide training on trending conduct and culture-related regulations and issues across all APAC jurisdictions as well as on internally established conduct and culture programs.
Maintain key regional business relationships and partner with regional stakeholders, including HR, Compliance, Trading Business Management, to implement appropriate processes
Ensure remediation plans are prioritized, owners are identified and are tracked to timely resolution
Complete, communicate and implement regional horizon scanning activities (internally and externally) to proactively monitor and assess thematic conduct risk reviews across all APAC jurisdictions
Provide advice on proactive conduct risk opportunities
Reporting
Review, aggregate, and analyze conduct risk data to identify trends and items for escalation (investigation, discussion, other) or opportunities for enhancement (ex. Process improvement)
Look for opportunities to 'connect the dots' between various programs and data sources to enhance the regional conduct and culture programs ensuring organizational, regulatory and stakeholder expectations are met
Complete root cause analysis with business partners where events, near misses, trends and/or emerging risks have been identified
Prepare and present reporting to stakeholders including business heads, regional conduct risk committees and APAC regional management committees and subsidiary Board of Directors as necessary
Submit/participate in program updates to regulators, as required.
Gain industry insights on global conduct and culture program
Candidate Profile
University Degree
Acts with high degree of integrity and promotes ethical practices
Knowledge of the conduct and culture regulatory environment and requirements
Build strong relationships with business partners and provide effective challenge as needed
Proven ability to successfully lead change and manage effectively in a matrixed environment
Skillful communicator and influencer to build relationships, advance decision making, and effect change over time
Ability to work with a pool of experts and ensure high levels of service even when the effort crosses organizational boundaries
Thrives in a fast-paced environment, managing multiple deadlines and priorities
Comfortable working in ambiguous and changing circumstances, able to handle complex situations independently and determine what issues require escalation, what to resolve and how to make suggestions for improvement
Effective influencer, partner and collaborator, willing to bridge across different teams and functions to deliver quality results
Strong judgement and decisiveness, with the ability to act with speed and agility
Self-starter able to effectively transition between individual and team-oriented activities in meeting deadlines and deliverables
Demonstrated ability to consolidate a large amount of information into a clear, concise analysis and take initiative to capitalize on opportunities identified therein
Strong communicator with excellent oral, written and presentation skills with the ability to work confidently when dealing with senior management
Ability to work in a fast-paced environment managing multiple priorities while meeting deadlines
Thrives in an environment that is ambiguous, complex and constantly evolving
Strong thought leadership and change management skills
Strong organizational and time management skills
Experience in Conduct, Culture, Compliance and/or Operational Risk an asset
Familiarity with regulatory landscape in the region including Singapore, Japan and Hong Kong an asset
Who We Are
TD is one of the world's leading global financial institutions and is the fifth largest