JOB DESCRIPTION

Reporting to the Senior Manager, Compliance Business Oversight, the Senior Compliance Business Oversight Analyst will provide objective guidance, support and advice to assigned portfolio, business or function to promote strong Compliance controls and processes are in effect to mitigate inherent associated risks. He will also contribute to the development and implementation of Compliance programs related to all aspects of Compliance laws.

Specific accountabilities include :

• Assist in the development and implementation of appropriate Compliance policies, processes and controls
• Facilitate the periodic Compliance risk and self-assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework
• Monitor that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
• Guide and complement the assigned portfolio in terms of financial, regulatory and risk management requirements
• Interact with control functions within the organization
• Develop analysis and insights, prepare and deliver management reporting necessary to promote accurate and thorough measurement of the risk factors present in various products
• Update business line policies and Compliance Team procedures
• Analyze Compliance requirements and establish they are properly written into requirements for business projects and approved at the appropriate levels
• Work with business management, and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations
• Keep abreast of emerging issues, trends, and evolving regulatory requirements in the Compliance industry and assess potential impacts
• Coordinate with other Compliance partners and business governance and control partners to promote consistency in the application of Compliance programs and standards across the enterprise
• Support in determining risk exposure, mitigation, and controls for new products, marketing campaigns, and expansion of existing programs
• Conduct enterprise-wide annual risk assessment for all TD businesses
• Support the business lines with compliance/risk controls and periodically evaluates
• risk mitigation efforts to make adjustments as risk/department influences change
• Protect the interests of the organization – identify and manage risks, and promote the prompt and thorough resolution of escalated nonstandard, high risk issues
• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and promote timely communication of issues/ points of interest
• Provide thought leadership and/ or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• Participate in personal performance management and development activities, including cross training within own team
• Keep others informed and up to-date about the status /progress of projects and / or all relevant or useful information related to day-today activities
• Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
• Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally
• Expert level professional role requiring in-depth knowledge / expertise in Compliance and working knowledge of broader related areas
• Provide advanced analysis and/or specialized reporting to support business partners, functional areas or centres of expertise
• Integrate the broader organizational context into advice and solutions within the Compliance area
• Understand the industry, competition and the factors that differentiate the organization
• Lead projects of moderately to complex risks and resource requirements; may lead end-to-end processes or functional programs
• Contact for business management, external/internal auditors, dealing with non-routine information
• Recommend and implement solutions within own area of responsibility
• May need to coordinate / integrate work with other areas as needed
• Identify and lead problem resolution for complex requirements related issues at all levels

JOB REQUIREMENTS

• French and English spoken and written considered an asset
• Undergraduate degree
• Relevant professional designations and/or certifications as required
• 5+ years relevant experience
• Proficient knowledge of a variety of products and services, systems, and compliance advisory standards, procedures, laws, rules, regulations and controls
• Knowledge of risk management environment, standards and regulations
• Knowledge of current and emerging trends
• Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
• Skill in using computer applications including MS Office
• 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 judgment in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Ability to handle confidential information with discretion

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