JOB DESCRIPTION AND ACCOUNTABILITIES:

Reporting to the Senior Manager – Canadian Personal Banking Technology and Enterprise Digital Governance and Controls Team, the successful candidate will be responsible for executing enterprise programs related to Operational Risk Management (ORM), Compliance, AML, Internal Audit, and other risk and governance support activities for Canadian Personal Banking Technology and Enterprise Digital. This individual will:

• Create and/or update process and control documentation (pRCSAs)
• Develop test procedures and execute tests of key operational controls (QA/QC)
• Maintain the Key Regulatory Control inventory (KRC)
• Create test procedures and execute tests of KRCs
• Work with business teams to remediate any control gaps identified from control design and operational testing
• Collaborate with stakeholders to facilitate timely creation of monthly Customer Platforms Key Risk Indicator (KRI) dashboard
• Support internal audits by working with team members to obtain artifacts, assisting management with responses to Audit findings; and tracking and closing audit findings
• Assist with regulatory examinations and AML programs
• Develop and maintain documentation “playbooks” related to Customer Platforms’ key processes and procedures

SPECIFIC EDUCATIONAL REQUIREMENTS / ACCREDITATIONS:

• Bachelor’s degree or progressive work experience in Financial sector

JOB QUALIFICATIONS:

The successful candidate has:

• a proven record of developing, documenting, and testing internal controls
• a strong understanding of business risks related to digital products and financial industry
• experience working with regulatory standards (AML, Privacy, consumer protection, etc.)
• attention to detail and effective personal time management skills
• the ability to effectively communicate with all stakeholders including senior leadership
• the ability to work independently on multiple time-sensitive tasks with minimal supervision
• the ability to translate high level concepts into quantifiable tasks and measurable results

The following are also assets for this role:

• Risk management experience
• Compliance/Privacy/AML/Audit experience
• Digital/mobile environment experience
• Business Analysis skills

SKILLS CATEGORY:

• Analytical and problem-solving skills
• Business process development
• Strategic thinking
• Excellent written/verbal communication
• Organizational awareness
• Relationship management
• Time Management

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.

Reporting to the Senior Manager – Canadian Personal Banking Technology and Enterprise Digital Governance and Controls Team, the successful candidate will be responsible for executing enterprise programs related to Operational Risk Management (ORM), Compliance, AML, Internal Audit, and other risk and governance support activities for Canadian Personal Banking Technology and Enterprise Digital. This individual will:

• Create and/or update process and control documentation (pRCSAs)
• Develop test procedures and execute tests of key operational controls (QA/QC)
• Maintain the Key Regulatory Control inventory (KRC)
• Create test procedures and execute tests of KRCs
• Work with business teams to remediate any control gaps identified from control design and operational testing
• Collaborate with stakeholders to facilitate timely creation of monthly Customer Platforms Key Risk Indicator (KRI) dashboard
• Support internal audits by working with team members to obtain artifacts, assisting management with responses to Audit findings; and tracking and closing audit findings
• Assist with regulatory examinations and AML programs
• Develop and maintain documentation “playbooks” related to Customer Platforms’ key processes and procedure

The following are also assets for this role:

• Risk management experience
• Compliance/Privacy/AML/Audit experience
• Digital/mobile environment experience
• Business Analysis skill