THE IDEAL CANDIDATE
The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.
Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can “roll up their sleeves”, takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank’s compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
TD Bank is seeking a Senior Analyst for Compliance Strategy and Operations (S&O) to support the overall Regulatory Compliance Management (RCM) Program and Framework. This strategic, hands-on role focuses on ensuring data consistency and integrity across compliance, risk management and operation domains with a strong emphasis on regulatory compliance. You will shape data strategy, collaborate cross-functionally, and assist in establishing governance standards that support regulatory, reporting, and operational needs. Must thrive in a fast-paced environment and able to manage multiple competing priorities.
Key Responsibilities :
- Assist and collaborate in the design and implementation of a comprehensive data management strategy that includes automated data validation and quality control.
- Build and maintain datasets, pipelines, dashboards, and reporting processes
- Improve efficiencies to support continued improvement of the Risk Compliance Management Program
- Analyze data to identify compliance trends and emerging risks using data visualization tools to facilitate informed decision-making
- Define and establish enterprise data governance standards, policies, and escalation protocols
- Gather requirements and promote best practices in data stewardship and usage
- Optimize workflow processes by compiling and streamlining data updates
- Automate tactical compliance solutions, governance controls, and data remediations to increase efficiency and reduce manual intervention
- Build tools and services around risk and compliance management
- Develop and maintain risk models, heat maps, and dashboards that highlight emerging risks across Compliance Program lifecycles
- Ensure data quality and consistency developing reusable assets and well-documented data layers
- Evaluate data modules and scenarios
- Conduct data and system tuning, optimization and validation specific to compliance and risk monitoring
- Create and generate executive case summaries to support Chief Compliance Officer reporting to Executive Leadership, the Board(s) of Directors, Global Internal Control and Compliance Departments, and other key stakeholders.
- Develop dashboards and visualizations to communicate key Compliance metrics and business insights
- Translate regulatory and business requests into accurate, audit-ready reports
- Evaluate metrics including KRIs and KPIs to spot trends, patterns, and emerging risks
- Consolidate data from multiple and divergent sources into a single, comprehensive, and easily digestible centralized repository to improve data accessibility and operational efficiencies
The above details are specific to the role which is outlined in the general description below. Please review the Desired Skills and Experience section below as you consider this opportunity.
Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.
The Senior Compliance Governance & Operations Analyst provides a range of research, analytical and/or operational process support within a defined area of the function. Supports implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs. This role may interact with key stakeholders and third-party service providers to deliver Compliance programs that satisfy regulatory requirements.
EDUCATION & EXPERIENCE:
- Undergraduate degree or equivalent work experience
- 5+ years of experience
CUSTOMER ACCOUNTABILITIES:
- Provides Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner
- Coordinates requests to and from, business (Compliance) partners and coordinates tracking and reporting of Compliance function initiatives and programs
- Prepares and delivers summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
- Recommends responses to enterprise Compliance Program questions and immediately escalates any sensitive issues according to departmental procedures
- Analyzes data and draw conclusions to meet program health reporting requirements
- Analyzes emerging trends pertaining to regulatory changes, reporting or other departmental functions and provides recommendations to enhance or rectify Compliance - related gaps, issues and enhancements
- Proactively identifies matters requiring additional review, escalation, and liaises with appropriate staff to resolve, as appropriate
SHAREHOLDER ACCOUNTABILITIES:
- Contributes to various activities and processes as assigned
- Adheres to enterprise frameworks or methodologies that relate to activities for own business area
- Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
- Be knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional area
- Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high risk activities as necessary
- Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
- Conducts reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
- Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
- Acquires and applies expertise in the discipline, provides guidance, assistance and direction to others
- Identifies, recommends and effectively executes standard practices applicable to the discipline
- Adheres to internal policies/procedures and applicable regulatory guidelines
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
- Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
- May lead work streams by acting as a project lead/subject matter expert for small scale projects/initiatives in accordance with project management methodologies
EMPLOYEE/TEAM ACCOUNTABILITIES:
- Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/ points of interest
- Supports the team by continuously enhancing knowledge/expertise in own area and participate in knowledge transfer within the team and business unit
- Keeps current on emerging trends/ developments and grows knowledge of the business, related tools and techniques
- Participates in personal performance management and development activities, including cross training within own team
- Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
- Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
- Contributes to a fair, positive and equitable environment that supports a diverse workforce
- Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
PHYSICAL REQUIREMENTS:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel – Occasional
- International Travel – Never
- Performing sedentary work – Continuous
- Performing multiple tasks – Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds – Occasional
- Sitting – Continuous
- Standing – Occasional
- Walking – Occasional
- Moving safely in confined spaces – Occasional
- Lifting/Carrying (under 25 lbs.) – Occasional
- Lifting/Carrying (over 25 lbs.) – Never
- Squatting – Occasional
- Bending – Occasional
- Kneeling – Never
- Crawling – Never
- Climbing – Never
- Reaching overhead – Never
- Reaching forward – Occasional
- Pushing – Never
- Pulling – Never
- Twisting – Never
- Concentrating for long periods of time – Continuous
- Applying common sense to deal with problems involving standardized situations – Continuous
- Reading, writing and comprehending instructions – Continuous
- Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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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.
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