Senior Compliance Quality Assurance Analyst

at  TD Bank

JOB DESCRIPTION:

DEPARTMENT OVERVIEW :The Global Compliance Oversight Function is responsible for enabling a consistent Regulatory Compliance Management (RCM) program, its implementation and maintenance across Oversight Functions (OFs) and Risk Owners (ROs), and maintaining a credible line-of-sight into their RCM program activities, as well as performing the following in accordance with the RCM Framework:

• Provide objective guidance on the implementation of the RCM program;
• Aggregate information gathered from OFs to inform reporting;
• Establish engagement models with OFs, and where necessary ROs.

JOB DESCRIPTION :

• Perform periodic quality assurance reviews of the RCM Program at the functional and/or enterprise level and opine on the effectiveness of Compliance’s adherence to the RCM Compliance program’s framework, standards, policies, procedures, etc.
• Prepare summaries, presentations, briefing notes, and any other required documentation to effectively report on the status and / or concerns identified during compliance quality assurance reviews.
• Manage relationships within and across various compliance functions, corporate and/or control functions and promote alignment with the Enterprise RCM Compliance Framework and/or regulatory requirements.
• Protect the interests of the organization by identifying and managing risks, and also promoting the prompt and thorough resolution of GCQAR issues.
• Assist in the preparation of the GCQAR quarterly report on the completion status of the annual plan and the results / metrics of these reviews.
• Keep current on emerging trends/ developments and grow knowledge of the compliance functions, related tools and techniques.
• Participate fully as a member of the Global Compliance team, support a positive work environment that promotes service, quality, innovation, teamwork and to promote timely communication of issues/ points of interest.
• Participate in personal performance management and development activities, including cross training within the Global Compliance Quality Assurance team.
• Exercise discretion in managing correspondence, information and all matters of confidentiality and escalating issues where appropriate.
• Assist on special projects / tasks as required.

JOB REQUIREMENTS :

• Undergraduate degree designations and/or compliance certifications
• 3+ years of banking experience (Compliance, Risk Management, Audit preferred)
• Knowledge of a regulatory compliance management program
• Background in testing, monitoring, quality assurance or quality control
• Strong written, verbal and critical thinking skills
• Detailed oriented with the ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Successfully worked as a member of a team, independently, remotely and in an evolving environment
• Skilled in using computer applications including MS Office

DEPARTMENT OVERVIEW :The Global Compliance Oversight Function is responsible for enabling a consistent Regulatory Compliance Management (RCM) program, its implementation and maintenance across Oversight Functions (OFs) and Risk Owners (ROs), and maintaining a credible line-of-sight into their RCM program activities, as well as performing the following in accordance with the RCM Framework:

• Provide objective guidance on the implementation of the RCM program;
• Aggregate information gathered from OFs to inform reporting;
• Establish engagement models with OFs, and where necessary ROs