Senior Compliance Business Oversight Analyst (3527)
Senior Compliance Business Oversight Analyst (3527)
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Job Description
Work Location:
Toronto Ontario CanadaHours:
37.5Line of Business:
CompliancePay Details:
$65600 - $98400 CADTD 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:
Department Overview
The TD Securities (TDS) Compliance Department provides regulatory compliance management and oversight programs to support the firms global footprint through proactive monitoring assessment and guidance of supervisory programs along with promoting a strong culture of compliance and risk awareness. TDS Compliance is rapidly evolving and growing globally and is a place for highly motivated professionals looking to make an impact. We are looking for individuals who will help us shape the Regulatory Compliance Management (RCM) Program and continue to support and provide exceptional service to our firms internal partners and customers globally.
Role Overview
We are seeking a highly organized and proactive Policy & Procedure Analyst to support the expansion of the TDS Global Core Compliance program (i.e. Global Policies & Procedures Mandates and Training). This role requires strong organizational and planning capabilities cross-functional collaboration and in-depth knowledge of Policies & Procedures and their compliance with applicable Laws Rules and Regulations (LRRs). By enhancing the TDS Global Core Compliance program this role will help to ensure the department protects the organization from legal financial and reputational harm while enabling strategic and sustainable growth.
Key Responsibilities
Global Core Compliance:
Manage develop and maintain Global TDS Compliance Policies & Procedures ensuring compliance with all global LRRs making sure they are locally relevant risk aligned and consistently applied across all jurisdictions.
Dive cross-functional collaboration efforts with key global stakeholders (internal to compliance as well as the business) to review and update policies & procedures in alignment with established refresh cycles.
Ensure policies & procedures are clearly written version-controlled and stored in compliance with document management standards and maintain an accurate inventory of all global policies & procedures.
Develop and execute a structured refresh cycle plan and workback schedule and ensure timely delivery of refreshed policies & procedures.
Facilitate global working groups and review boards to gather input drive consensus and manage policy approval workflows.
Administer TDS Compliance document inventory update the TDS Compliance intranet site and the department Compliance Online Document Inventory (CODI) SharePoint site.
Track and report on updates exceptions and overdue reviews ensuring documentation risk assessments and approvals are in place.
Support development and training programs to ensure employees understand and comply with global policies & procedures.
Lead communication and training efforts during new policy launches or major updates.
Support the annual Compliance Training Program.
Support the annual review of Job Mandates.
Assist in the ongoing development of core compliance processes.
Other
Support continuous improvement initiatives to simplify harmonize or automate processes
Participate in enterprise-wide special projects.
Job Requirements/Skills
Superior organizational skills
Excellent written and oral communication skills
Strong interpersonal skills with the ability to effectively interact and communicate at all levels of the organization
Advanced MS Office skills preferred
Ability to operate in an evolving sometimes ambiguous environment
Ability to understand regulatory requirements
Ability to work in a fast-paced environment delivering on priorities under tight deadlines
Strong critical thinking and problem-solving skills
Team Culture
Participate fully as a member of the team support a positive work environment that promotes quality innovation and teamwork and timely communication
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 team development of skills and capabilities through mentorship of others by sharing knowledge and experiences and leveraging best practices
Develop relationships with internal and external business partners / stakeholders to develop productive working relationships
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 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. 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
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):
Sans ObjetRequired Experience:
Senior IC
Employment Type
Full-Time
