Risk & Control Examination Specialist

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Technology Solutions

Pay Details:
$91,200 - $136,800 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:

Department Overview: The Technology Control Office (TCO) is part of Enterprise Protect 1B line of defence. The TCO team supports Corporate Platforms and is responsible for governance and oversight of all aspects related to Technology Risk. In addition, the TCO provide shared services to both Corporate and Commercial Platforms related to Application Security, Infrastructure Security, governance and facilitation of the annual SOX audit program, multiple enterprise risk related initiative, and risk reporting to the platforms and portfolios. The team general accountabilities include:

TCO Risk Governance for Corporate Platforms:

• Govern and oversee all technology risk domains to ensure risks are identified, understood, remediated, or managed, and adequately reported to TS management.
• Oversee and facilitate audit, regulatory and various TS examination process Audit, regulatory examination.
• Support, guide, and challenge TS teams through audit finding remediation planning and ITACC governance steps and oversees finding remediation process.
• Oversee management's progress on portfolio of control gaps and 3PCRM issues and compliance with risk treatment standards.
• Coordinate with TCO shared services to keep risk initiatives within TS risk appetite.
• Work with reporting team to ensure accuracy and completeness of risk reporting.

TCO Shared Services for Corporate and Commercial Platforms:

• Oversee and govern enterprise level Risk Programs to ensure TS organization meet programs' requirements.
• Identify, report, support Infrastructure and Application Security compliance efforts and support TS teams in management or planning remediation of reported vulnerabilities and defects.
• Govern, oversee annual Sarbanes-Oxley (SOX) Audit Program, support TS teams during the audit and liaise with all involved partners to ensure successful and timely completion of the annual regulatory audit.
• Provide centralized risk reporting support for all portfolios and all platforms under TCO purview.

Job Description: Reporting to the head of the Technology Control Office, the successful candidate will be responsible for liaising with partners such as SOXOG, GCO, External and Internal auditors to oversee and facilitate the annual SOX audit program for the Corporate and Commercial Platforms as well as engage and provide support to impacted TS teams to effectively support the execution of the annual regulatory SOX audit, and when relevant work with audit, TS teams and other risk partners to determine strategies to remediate to SO audit findings. Specific responsibilities include:

• Oversee and coordinate the execution of the annual SOX audit program, for two technology platforms and the corresponding TS portfolios.
• Manage a team of seasoned and high performing audit professionals and with extended SOX experience.
• As relevant, act as a challenger to the risk partners, the various audit partners, and the TS teams
• Understand the portfolio of SOX findings and understand progress towards remediations to ensure challenges and remediation risks are understood, communicated, and addressed by the finding owners.
• Work with finding owners to help develop adequate responses and remediation plans, ensure identified control gaps will be properly mitigated and/or adequate remediation plans will be developed.
• Work with finding owners to ensure findings are closed and pass the various finding resolution review stages.
• Monitor, report on the over SOX audit program status, and escalate challenges to more senior leadership and, when necessary to executive leadership

The successful candidate is also expected to engage and provide support in other key areas the TCO will be responsible for, including but not limited to:

• Be knowledgeable on controls and processes as it relates to addressing risks to comply with regulations and policies.
• Conduct research to identify benchmarks and best practices for the management of IT risk and keep abreast of emerging trends and issues in information technology.
• Contribute to building a proactive risk culture through engagement with segment teams and partners.
• Build and maintain positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings and knowledge with the team and other risk partners.
• Promote and foster a cohesive team and positive work environment that encourages innovation, creativity, and collaboration.
• Support the development of the TCO team by overseeing various IT risk initiatives and audit engagements impact TS and conducting performance assessments.
• Support management and other team members in the achievement of individual, team, and divisional objectives.

Job Requirements:

• Undergraduate degree - 7 to 10 years relevant experience in audit, SOX programs, and risk management, preferably with technology, CISA, CRISC
• Solid understanding of the concepts and practices of IT risk management, IT process and related controls
• Familiarity with the Bank's Technology Risk Management framework and IT Audit process as well as industry best practices
• Ability to understand and detect business and technology issues and their impacts.
• Ability to effectively interact with individuals across the organization and at various levels (Technical, Business, Management & Executive).
• Good judgment- ability to determine which issues to escalate vs. to resolve independently and provide suggestions for possible resolution.
• Ability to communicate effectively and build good working relationships with diverse groups to identify issues, reach consensus and implement workable solutions, strong facilitation skills.
• Experience and ability to manage a seasoned team of audit professionals, also very seasoned in SOX audit will be critical to succeed in the role.
• Previous multi-year audit and SOX audit experience would be the most significant asset, and previous risk management experience preferable.
• Skillful communication (written and verbal), negotiation and partnership skills to balance input but remain objective to reach the right outcome - ability to stay resilient under pressure.
• Detailed oriented, strong analytical, organization and problem-solving skills
• Must be a self-motivated, energetic, and results-oriented and be committed to adding value to the team.
• Excellent time management skills and a proven ability to meet deadlines and manage multiple tasks.
• Ability to work independently and in teams with minimal supervision.
• Experience with MS Office Suite of software (Word, PowerPoint, Visio, Outlook and SharePoint) with expert working and operational knowledge of MS Excel

#LI-TECH

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):
Sans Objet