Work Location
Toronto, Ontario, Canada
Hours
37.5
Line of Business
TD Securities
Pay Details
$155,000 - $215,000 CAD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description
This role is responsible for leading the global framework, governance, oversight, and reporting of audit, regulatory, and control-related issues across TDS. The role provides enterprise-wide leadership to ensure issues are identified, classified, owned, remediated, escalated, and closed in a timely, transparent, and sustainable manner. Acting as a senior first-line control leader, the role partners closely with business heads, Risk, Compliance, Legal, Internal Audit, Technology, Operations, regional leadership, and regulatory management teams to strengthen remediation discipline, improve issue data quality, prevent repeat findings, and support credible regulatory and senior management reporting. The role has significant visibility with senior executives, governance committees, Board-level forums, and regulators, and is accountable for driving a consistent global approach that reinforces accountability, operational resilience, and a strong risk and control culture.
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 a global first-line function responsible for the governance, oversight, reporting, and escalation of audit, regulatory, self-identified, and control-related issues across TDS
•Establishes and maintains consistent global standards for issue identification, classification, ownership, remediation planning, milestone tracking, evidence quality, validation readiness, escalation, and sustainable closure
•Operates across multiple businesses, regions, legal entities, and regulatory jurisdictions, including close alignment with regional governance teams in the Americas, Europe, and APAC
•Provides senior-level oversight and credible challenge over high-risk, overdue, regulator-sensitive, repeat, systemic, and Board-visible issues
•Influences business heads, regional leadership, Internal Audit, Compliance, Operational Risk, Legal, Technology, Operations, Regulatory Management, and enterprise risk partners to drive timely and sustainable remediation
•Maintains a consolidated global view of issue inventory, remediation status, aging, root causes, repeat findings, data quality, and emerging control themes
•Develops executive-ready reporting and insights for senior management, governance committees, Board-level forums, and regulators
•Supports regulatory transparency by coordinating consistent issue management messaging, evidence packages, remediation updates, and closure readiness across jurisdictions
Education & Experience
•Undergraduate degree required; advanced degree in Business, Finance, Law, Risk Management, Accounting, Economics, or a related discipline preferred
•15+ years of progressively senior experience in financial services, preferably within a global investment bank, capital markets business, or large regulated financial institution
•Significant experience in audit, regulatory remediation, issue management, operational risk, compliance, internal controls, governance, or first-line risk and control roles
•Proven track record designing, implementing, or leading enterprise-wide issue management, remediation governance, audit response, or regulatory oversight frameworks
•Deep understanding of the audit lifecycle, regulatory examination process, control remediation, root cause analysis, evidence standards, validation readiness, and sustainable closure expectations
•Experience engaging directly with senior executives, Board-level committees, regulators, Internal Audit, Compliance, Risk, Legal, Technology, Operations, and business leadership
•Demonstrated ability to operate across global businesses, regions, legal entities, and regulatory jurisdictions, with strong awareness of local regulatory expectations and enterprise standards
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.
Language Requirement (Quebec only)
Sans Objet
