Senior Analyst, TDS Governance and Control

at  TD Bank

JOB DESCRIPTION

Reporting to the Manager, TDS G&C, the primary role of the Senior Analyst, TDS G&C, is to ensure internal control testing is effectively and efficiently conducted based on the requirements of the 2nd line functions (e.g., Compliance, Risk, AML, etc.).

As part of the key accountabilities of the role, the Senior Analyst will:

• Lead and assist in the development of Design and Operating effectiveness of Testing programs that will effectively and efficiently detect gaps in internal processes/controls. Understand and apply sampling methodology in accordance with TD sampling guidelines.
• Conduct ongoing testing of key controls/requirements for all TDS Businesses. Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution.
• Lead and assist with assessing Key Risk Indicators to identify opportunities to enhance the program.
• Lead and assist TDS Businesses in developing action/remediation plans to address internal control gaps as well as the root cause themes.
• Lead the identification of opportunities to improve processes, identifying and realizing efficiencies in testing (where possible) and delivering a better testing experience to TDS Businesses.
• Work with business stakeholders to develop or enhance key controls and remediate documentation/process gaps to reduce risks with 2nd line function support.
• Assist with ad-hoc initiatives and strategies from a risk and control perspective.
• Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.

JOB REQUIREMENTS

Skills

• Advance knowledge of governance, risk and control procedures, strategies & tactics
• Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology
• Knowledge of current and emerging trends
• Skill in using analytical software tools, data analysis methods and reporting techniques is an asset
• Skill in using computer applications, including MS Excel, PowerPoint, Visio, and Word
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively and build relationships
• Ability to work successfully as a member of a team and independently
• Ability to exercise sound judgement in making decisions
• Ability to analyze, research, organize and prioritize work while meeting multiple deadlines
• Ability to process and handle confidential information with discretion
• Understanding of TDS business operations and processes is an asset

Education & Experience

• University education
• 4 years of relevant experience (Risk, Audit, Compliance preferred)

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.

• Lead and assist in the development of Design and Operating effectiveness of Testing programs that will effectively and efficiently detect gaps in internal processes/controls. Understand and apply sampling methodology in accordance with TD sampling guidelines.
• Conduct ongoing testing of key controls/requirements for all TDS Businesses. Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution.
• Lead and assist with assessing Key Risk Indicators to identify opportunities to enhance the program.
• Lead and assist TDS Businesses in developing action/remediation plans to address internal control gaps as well as the root cause themes.
• Lead the identification of opportunities to improve processes, identifying and realizing efficiencies in testing (where possible) and delivering a better testing experience to TDS Businesses.
• Work with business stakeholders to develop or enhance key controls and remediate documentation/process gaps to reduce risks with 2nd line function support.
• Assist with ad-hoc initiatives and strategies from a risk and control perspective.
• Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team