Compliance Business Oversight Analyst II
Compliance Business Oversight Analyst II
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Job Description
Work Location:
London United KingdomHours:
35Line of Business:
CompliancePay Details:
Were committed to providing fair and equitable compensation to all our colleagues. As a candidate we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions including pay details for this role.
Job Description:
KEY ACCOUNTABILITIES
CUSTOMER
- Assist in the development and implementation of appropriate Compliance policies processes and controls
- Facilitate the periodic Compliance risk and self-assessment activities for designated business using TDs Enterprise Compliance Risk Assessment Framework
- Monitor that assessments (monitoring risk assessment etc.) are completed and communicated in a continuous and timely fashion
- Guide and complement the assigned portfolio in terms of financial regulatory and risk management requirements
- Interact with control functions within the organization
- Develop analysis and insights prepare and deliver management reporting necessary to promote accurate and thorough measurement of the risk factors present in various products
SHAREHOLDER
- Contribute to various Compliance advisory activities (e.g. report production process mapping tracking research analysis and procedural support) as assigned
- Assist in evaluating methodologies for analyzing risk exposures. Analyzes risk exposure characteristics for assigned portfolio.
- Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for Compliance
- Protect the interests of the organization identify and manage risks and escalate non-standard high risk transactions / activities as necessary
- Assist the business lines with compliance/risk controls. Oversee TD maintains successful audits and exams within all areas
- Adhere to internal policies/procedures and applicable regulatory guidelines
- Maintain a culture of risk management and control supported by effective processes in alignment with risk appetite
EMPLOYEE / TEAM
- Participate fully as a member of the team support a positive work environment that promotes service to the business quality innovation and teamwork and promote timely communication of issues/ points of interest
- Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business
- Keep current on emerging trends/ developments and grow knowledge of the business related tools and techniques
- Participate in personal performance management and development activities including cross training within own team
- Keep 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
- Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training coaching and/or guidance as appropriate.
- Contribute to a fair positive and equitable environment that supports a diverse workforce
- Act as a brand champion for your business area/function and the bank both internally and/or externally
BREADTH & DEPTH
- Experienced working professional providing specialized Compliance guidance/ assistance reporting and operational support to function/business supported as well as to the Compliance team
- Require advanced understanding of a range of product and services processes procedures systems and concepts within their own area of specialty and integration points with related areas
- Manage ambiguity and apply judgement to identify troubleshoot and resolve ongoing business and operational issues
- Contact for business management external/internal auditors dealing with non-routine information
- Provide day to day interaction and support to their manager
- Identify and lead problem resolution
- Generally reports to a Manager/Senior Manager Compliance
EXPERIENCE & EDUCATION
- Undergraduate degree
- Relevant professional designations and/or certifications as required
- 3 years relevant experience
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 deliver legendary customer experiences to 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 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 youve 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 were here to support you towards your goals. As an organization we keep growing and so will you.
Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits including medical coverage paid time off career development and reward and recognition programs.
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.
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. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.
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
If you require an accommodation for the recruitment / interview process (including alternate formats of materials or accessible meeting rooms or other accommodation) please let us know and we will work with you to meet your needs.
Required Experience:
IC
Employment Type
Full-Time
