JOB DESCRIPTION:

Overview:
Provide Enterprise Compliance Journaling – Archiving & Surveillance Technology support; troubleshooting & addressing service requests, incidents, changes and other issues raised by TD global Compliance teams. Provide technical expertise with a focus on efficiency, reliability, scalability, and security; includes support, integration, maintenance/updates and improvements of systems that retain email/chats and other electronic messages for regulatory compliance requirements.

Job Description:

• Interact with governance and control groups, (e.g. regulatory/operational risk, compliance and audit) to consult on risk issues/items related to Compliance Journaling process, technology and tools
• Collaborate with Compliance stakeholder teams to understand & meet their journaling/surveillance needs
• Liaise with internal teams, vendors, Business/Solution Analysts to resolve Compliance Journaling issues
• Perform data integrity validations and support relating to eDiscovery, investigations of electronic communication data, migrations, change implementations, upgrades and tool integrations
• Assist in Compliance audits by providing process/access/security details and evidence
• Contribute in RAID, Change, Incident and Problem Management meetings
• Support Security/Legal/HR and internal compliance stakeholders with eDiscovery/investigations, audit queries and other regulatory/legal/FINRA requests
• Provide Admin support of cloud archiving/surveillance tools for TD Compliance stakeholders
• Generate Compliance reports using various tools; PowerShell & vendor built-in application reporting
• Troubleshoot and resolve issues related to the overall Compliance Journaling solution for hybrid Microsoft Exchange On-Prem/Office365 Tenant enterprise environment
• Ensure deliverable deadlines are met without compromising the quality
• Analyze requirements and deliver journaling related tasks as part of the overall solution
• Conduct testing as required to support routing changes for journaling, software maintenance/upgrades
• Resolve Compliance incidents, service requests and change records via Problem & Incident Management tracking tools and working with both Application and Compliance software vendors.
• Participate in effort estimation and planning discussions
• For incidents/escalations, testing/validations and change implementations/upgrades with 3rd party vendors and internal teams after-hours & weekend support coverage as needed.
• Work effectively as a team, supporting other members in achieving business objectives and articulating any concerns and findings
• Participate in the overall end-to-end management of the service

Job Requirements

• Strong overall technical background working with the following: Microsoft Exchange/PowerShell, Active Directory, BlackBerry (BES/UEM), Microsoft Teams, other Instant messaging and collaboration software (Bloomberg, Reuters, etc.)
• Demonstrate understanding of compliance journaling and surveillance tools, mail routing, mail connectors and routing rules, message queuing, NDR messages, Active Directory, cloud archiving solutions – Microsoft Purview, HPE/Micro Focus/Smarsh Digital Safe/Audit Center/Digital Safe Discovery & Supervisor and Smarsh Enterprise Platform/Enterprise Archive/Conduct/Cognition
• Experience implementing data management controls including Reconciliation in a regulated context
• Experience with testing, deployment and management of secure external file sharing technologies
• Experience with file transfer technologies – FTP/SFTP/TIBCO
• Able to analyze complex systems and business needs by gathering relevant info and working with vendor, business users, solution architects, engineers, support, operations and management to complete deliverables
• Strong troubleshooting skills with the ability to perform deep dive investigations and header/log analysis - to resolve issues and determine root cause
• Document test cases/results related to validation exercises – as well as work processes/procedures
• Strong analytical abilities, excellent time management & prioritization skills
• Experience working in a highly regulated and process-driven environment
• Ability to effectively interpret technical as well as business objectives and challenges
• Ability to problem solve and be outcome driven
• University or post-Graduate degree in Information Technology, Computer Science, Computer Engineering, or related field is preferable
• 7-10 years of relevant experience
• Solid understanding of Incident, Problem and Change Management processes

Preferred Skills:

• Hands on experience with a regulatory compliance communication record retention and surveillance solution like Smarsh Enterprise Archive and Conduct, or a similar product from Proofpoint, Global Relay, etc. strongly preferred.
• Working knowledge of TD applications, systems, networks, innovation, design activities, best practices, business/organization, Bank standards, and may fulfill a governance role
• Microsoft messaging or security certification
• Active Directory/LDAP/LDIF/GPO
• Exchange/Outlook/O365/OWA/PowerShell
• Understanding of Security & Encryption
• IT experience at a Top 10 NA Bank
• Able to confidently present and speak to Compliance, Security, Risk and Control partners

Hybrid = 2 days a week in the office

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.

Please refer the Job description for details