Compliance Governance & Operations Officer II

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Hours:

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Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

The Compliance Governance & Operations Officer supports and improves TDEF compliance and governance activities. The role provides research analysis reporting and operational support; conducts AML reviews; applies policies and regulatory requirements; and identifies documents escalates and remediates compliance risks and control issues.

The Officer works within established frameworks exercises sound judgement provides clear recommendations to management and collaborates with Compliance Legal Operational Risk and business partners.

Role objective: Deliver timely accurate risk-informed compliance support that strengthens governance protects the organization and enables sound decisions.

Conduct AML reviews of prospective and existing customers under TDEF and TD requirements.

Gather validate and analyze customer ownership control and due diligence information; identify gaps inconsistencies or unusual details.

Apply internal policies procedures controls and regulatory requirements.

Monitor compliance risks and promptly escalate non-standard sensitive high-risk or unusual matters.

Track compliance changes and assess potential business and operational impacts.

Support and improve compliance programs and governance processes.

Prepare summaries presentations briefing notes communications and management reports.

Coordinate requests and follow-ups with Compliance Legal Operational Risk Sales Credit Operations and other partners.

Support documentation and reporting for governance groups audits compliance reviews and regulatory requests.

Maintain accurate trackers and status reports for issues findings action plans commitments and remediation.

Communicate status risks dependencies and decisions promptly.

Complete quality control reviews and document evidence-based findings.

Identify control gaps process weaknesses and recurring themes; recommend practical improvements.

Support issue identification root-cause analysis tracking and remediation.

Maintain complete accurate review-ready records to support audit and compliance outcomes.

Handle confidential information with discretion and in accordance with requirements.

Provide first-level guidance on established compliance processes escalating interpretation questions as needed.

Support compliance training communications job aids and knowledge transfer.

Respond to routine compliance and governance inquiries.

Maintain current knowledge and share relevant updates and lessons learned.

Help develop and improve procedures playbooks manuals checklists and governance frameworks.

Participate in compliance governance technology and process-improvement initiatives.

Research and analyze gaps then propose integrated solutions.

Manage assigned deliverables accurately across multiple priorities and deadlines.

Working knowledge of compliance AML/KYC governance legal regulatory risk and control environments.

Understanding of enterprise policies systems reporting requirements and governance frameworks.

Ability to research interpret and summarize requirements and business impacts.

Strong analytical organizational problem-solving and attention-to-detail skills.

Sound judgement and ability to provide clear practical recommendations.

Effective written and verbal communication including concise business documentation.

Ability to build collaborative relationships and provide responsive support.

Proficiency in Microsoft Office and ability to learn relevant systems.

Ability to work independently and collaboratively while managing deadlines and confidential information.

Undergraduate degree preferred or equivalent education and experience.

Typically 1 years of relevant experience in compliance AML/KYC governance risk audit legal financial services or related operations.

Relevant professional designation or certification is an asset.

Uses judgement to resolve routine to moderately complex issues and determine when to escalate

Provides well-supported recommendations to management.

Promptly escalates exceptions ambiguity sensitive matters and higher-risk issues.

May guide colleagues and partners on established processes and policies.

Stay adaptable and organized amid change and competing priorities.

Accurate complete timely AML and compliance reviews.

Clear documentation of analysis decisions rationale and escalations.

Consistent adherence to policies controls service standards and confidentiality requirements.

Timely identification and escalation of risks gaps exceptions and missing information.

Practical contributions to remediation audit readiness stakeholder support and process improvement.

Effective collaboration follow-through and knowledge sharing.

Demonstrates integrity accountability accuracy sound judgement and a strong risk mindset.

Supports a respectful inclusive collaborative service-oriented workplace.

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we strive to make every interaction product and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes a base salary variable compensation and several other key plans such as health and well-being benefits savings and retirement programs paid time off banking benefits and discounts career development and reward and recognition programs. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):