Senior Analyst, Governance & Control - Regulatory Compliance Management (RCM)

at  TD Bank

JOB DESCRIPTION

Reporting to the Manager, TDS G&C, the primary role of the Senior Analyst, TDS G&C Regulatory Compliance Management (RCM), is to support TDS businesses in adhering to applicable RCM Standards requirements, managing risk, and having effective operational RCM controls in place. The role will liaise between team members, cross functional teams across various geographies to ensure deliverables and requirements are met.

As part of the key accountabilities of the role, the individual will be expected to:

• Support all elements of the TDS RCM program, including update, development, communication, and implementation of TDS RCM procedures to align with new enterprise RCM Standards.
• Support and perform RCM Monitoring and Testing of TDS business follow the principles of the Monitoring & Testing Standards.
• Build and maintain constructive relationships with TDS and Compliance partners as well as other key stakeholders to ensure TDS RCM Program requirements are understood and met.
• Assist with TDS RCM Program changes and support the maintenance of TDS RCM inventories, processes, and Issues Management in the MERLIN application.
• Maintain a general understanding of existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.
• Assist and support with drafting material for TDS and enterprise RCM committees, meetings, or training.
• Escalate and report RCM issues to Manager, prepare TDS RCM reporting as required.
• Fully participate as a member of the team, promoting team effectiveness and contributing to a positive work environment.

JOB REQUIREMENTS

• University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.
• Solid knowledge of compliance governance, compliance management practices, enterprise compliance policy, standards & strategy.
• Minimum 2 years of Compliance, Risk, and/or Audit experience (financial services industry preferred).
• Strong interpersonal and relationship management skills.
• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.
• Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
• Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
• Ability to take initiative and work independently and in a team environment.

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 help clients meet their needs today and prepare for tomorrow. 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. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

• Support all elements of the TDS RCM program, including update, development, communication, and implementation of TDS RCM procedures to align with new enterprise RCM Standards.
• Support and perform RCM Monitoring and Testing of TDS business follow the principles of the Monitoring & Testing Standards.
• Build and maintain constructive relationships with TDS and Compliance partners as well as other key stakeholders to ensure TDS RCM Program requirements are understood and met.
• Assist with TDS RCM Program changes and support the maintenance of TDS RCM inventories, processes, and Issues Management in the MERLIN application.
• Maintain a general understanding of existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.
• Assist and support with drafting material for TDS and enterprise RCM committees, meetings, or training.
• Escalate and report RCM issues to Manager, prepare TDS RCM reporting as required.
• Fully participate as a member of the team, promoting team effectiveness and contributing to a positive work environment