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). A technology forward strategic project leader to provide support across multiple teams and ensure tasks are captured, monitored, addressed, and completed on time. The ideal candidate would be willing to work hands-on to drive key initiatives across compliance, operational risk management, and audit functions. Works well in a team dynamic to ensure the seamless execution of complex, high-impact projects. Must have strong communication, organization, and leadership skills and the ability to work in a fast-paced environment.
Key Responsibilities :
- Utilizing best practice PMO methodology (e.g., maintain plans, risk, and issues, etc.) to manage full project lifecycle from gathering requirements, to development, and deployment
- Build and maintain detailed project plans, timelines, and communication reports for senior management and risk management executives
- Drive progress issue-by-issue and ensure deadlines are met
- Develop, scope, and plan prioritized risk-based action plans
- Proactively track project progress against goals and business objectives
- Resolve complex interdependent activities and categorized them into activities, tasks, and sub-tasks
- Document and monitor project activities to ensure adherence to schedules, risk of delay, and control project status
- Liaise with internal teams including risk owners, oversight functions, IT, operations, risk, compliance, and legal to align project objectives
- Lead cross-functional teams and steer implementation, maintenance, and enhancement of regulatory compliance and risk management objectives
- Lead the execution of major project and compliance initiatives across the enterprise
- Drive end results of compliance initiative projects
- Facilitate remediation-related engagements with risk owners and compliance oversight functions Facilitation communication between business stakeholders’ technology teams, and regulators
- Communicate project status, risks, potential obstacles, and issues relevant to staked holders and escalate risks, concerns, and issues as warranted
- Proactively recognize when problems surface or the potential of looming problems
- ’No surprises’ approach to communicating problems, issues, or concerns
- Ability to discern and differentiate between an issue, risk, or BAU activities and communicate the level of attention required for each
- Ability to bring the right people together to problem solve and know when a problem has been properly addressed and should be closed out.
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
PREFERRED SKILLS:
- Bachelor’s / University degree
- 5 - 7+ years of project management experience independently managing multiple highly-complex or large-scale transformation projects
- Preferred experience in fintech, regulated financial services institutions, or consulting firms
- Experience with regulatory programs or consent order projects
- Demonstrated ability to think critically, strategically, analytically and to creatively problem solve
- Strong leadership skills with a proven track record in driving positive and sustained change
- Experience managing inter-departmental dependencies (e.g., working with Compliance, ORM / ERM, Technology, Internal Audit, Legal)
- Excellent verbal and writing skills
- High sense of ownership, adaptability, flexibility, and ability to manage strategy with risk tolerances and business needs
- Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
- Track record of working independently in fast-paced, environments and delivering results on time
- Ability to work in a diverse and inclusive workspace
- Ability to work in a team dynamic
- Must be highly proficient and skilled in Word, Excel, PowerPoint, Outlook, Teams, Microsoft Office Suite, MS Project, Visio, and Power BI
- Proficiency with compliance related GRC tools (e.g., ServiceNow, Archer)
- Master’s degree in business administration (MBA), Project Management, Engineering Management, or a related field b(a plus)
- Certification in risk management or financial analysis (FRM, PMI-RMP, CFA, etc.) (a plus)
- Prior consulting experience in Compliance Advisory, Risk Management, or Audit (a plus)
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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