Risk Analyst, Regulatory Risk Management

at  TD Bank

OTHER ACCOUNTABILITIES:

• Management of the regulatory information database, ensuring accuracy of the data
• Ongoing analysis of regulatory information to glean themes and insights and operational analytics
• Automating and finding innovations for Regulatory Risk Mgmt reporting
• Tracking internal and external regulatory deliverables within strict deadlines
• Assisting business partners in managing the findings remediation process (e.g., reminders, communicating findings’ status, etc.)
• Supporting the regulatory examination process by providing quality assurance, preparing documents, monitoring and tracking deliverables, and collation and delivery of submissions to the regulator
• Supporting the Daily news process for deployment by 8:00AM ET as required
• Management of procedures and policies as required
• Supporting other related activities assigned by the management.

OTHER QUALIFICATIONS/SKILLS/EXPERIENCE:

• Excellent MS skills (Access, Word, Excel, PowerPoint)
• Proficiency in MS Access, including database design, queries, forms and reports is preferred
• Experience in data processing techniques (VBA,Python or other language) is required
• Advanced proficiency in Microsoft Excel (i.e., advanced formulae, vlookup and pivot table) is a must
• Strong understanding of relational database concepts and best practices
• Excellent communication (written and verbal) and interpersonal skills
• Strong attention to detail, highly organized with strong time and organizational/project management skills
• Agile, adaptable, “can-do” attitude, high degree of responsiveness and initiative
• 1-2 years’ experience in the financial industry
• Strong analytical and problem-solving skills
• Ability to perform ad-hoc analysis and troubleshoot issues
• Ability to identify and implement process improvements as necessary
• Ability to work independently and as part of a team

OUR ROLE IS TO MONITOR, ASSESS, AND MITIGATE TD’S EXPOSURE TO THE RISK OF HAVING RESTRICTIONS IMPOSED ON THE BANK FOR NOT MEETING REGULATORY EXPECTATIONS SET BY CANADIAN AND NON-US REGULATORS. WE ASSIST TD BUSINESSES, CONTROL FUNCTIONS, AND SENIOR EXECUTIVES IN IDENTIFYING, INTERPRETING AND REMEDIATING THE IMPACT OF REGULATORY ASSESSMENTS AND REGULATORY CHANGE FOR TD BANK GROUP. AS REGULATORY SUBJECT MATTER EXPERTS WE ARE RESPONSIBLE FOR:

• Providing advice and counsel on ongoing regulatory communication and emerging developments, as well as on new initiatives within the bank that have a regulatory impact
• Monitoring emerging regulatory developments and common finding themes throughout TD’s footprint, and communicating these to internal stakeholders
• Partnering with groups undergoing regulatory examinations through centralized management of regulatory information requests and attending meetings with regulators.