Senior Compliance Business Oversight Analyst, Canadian Banking Compliance (3531)

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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:

TEAM OVERVIEW

Canadian Banking Compliance (CBC) is responsible for overseeing Regulatory Compliance in accordance with the Enterprise Regulatory Compliance Management (RCM) Framework. We provide ongoing regulatory support for Canadian Banking lines of business as mandated under the primary governing regulatory body the Financial Consumer Agency of Canada (FCAC).

JOB DESCRIPTION

Reporting to the Manager the Senior Compliance Business Oversight Analyst will be a member of the Canadian Banking Compliance (CBC) team and support and execute the accountabilities of our Regulatory Compliance Management (RCM) Program and provide objective guidance and independent challenge to Canadian Banking for managing regulatory compliance risk. The successful candidate will act as a subject matter expert on Monitoring & Testing specifically the Laws Rules and Regulations (LRRs) applicable to Canadian Banking businesses including consumer protection (under the federal Bank Act or provincial consumer protection legislation) CDIC and Privacy. This subject matter expertise is leveraged to execute the CBC RCM Program with specific focus on Monitoring & Testing (M&T) and Issues Management.

KEY ACCOUNTABILITIES

• Coordinate and/or lead the annual Monitoring & Testing (M&T) planning process

• Develop maintain and communicate dashboard(s) and/or metrics to track and report on annual M&T plan progress

• Develop and maintain various M&T reporting to management (e.g. quarterly reporting board reporting)

• Develop and execute Compliance M&T activities in accordance with established Standards and Procedures to achieve completion within target timelines

• Conduct skilled analytical research and analysis as part of Compliance M&T engagements

• Work collaboratively with key partners throughout engagements (e.g. Risk Owners CBC Compliance Unit Compliance Testing team)

• Present objective and independent opinion on the adequacy of Regulatory Compliance Management (RCM) processes and controls in accordance with regulatory and internal requirements

• Proactively identify matters which require additional attention further escalation or review and liaise with the appropriate groups to resolve

• Provide objective review and challenge to businesses through monitoring and/or testing activities

• Assist in the development and implementation of appropriate Compliance policies processes and controls for continued alignment to the Enterprise Regulatory Compliance Management Framework and associated Standards and Procedures

• Work with Compliance and business management and external business partners (e.g. Internal Audit external consultants) to respond to regulatory requests findings audits and/or examinations

• Identify and execute on opportunities to streamline processes within team using resources available (e.g. automation tools as applicable)

• Develop analysis and insights for reporting identified or emerging risks to senior management within Compliance the business applicable Boards and regulators as required

• Assist to develop and/or present focused RCM training internally within the team and/or to Risk Owners

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

• Provide thought leadership and / or industry knowledge for own area of expertise 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 team development of skills and capabilities through mentorship of others by sharing knowledge and experiences and leveraging best practices

• Lead motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships

• Contribute to a fair positive and equitable environment that supports a diverse workforce

BREADTH & DEPTH

• Expert level professional role requiring in-depth knowledge / expertise in Compliance and working knowledge of broader related areas

• Strong critical thinking organizational and problem-solving skills

• Has the ability to understand regulatory requirements and apply that knowledge to business-specific scenarios

• Strong interpersonal skills with the ability to interact at all levels of the Bank with superior organizational awareness

• Oversees and / or independently performs work from end to end executing on more complex and / or non-standard requests

• Performs complex analysis and reporting

• Delivers on priorities under tight deadlines in in an evolving sometimes ambiguous environment

• Excellent written and oral communication skills

EXPERIENCE & EDUCATION

• Undergraduate degree or equivalent work experience (5 years)

• Experience in Internal Audit or Compliance

• Experience with PowerPivot Power Query Power BI Python SQL

• Experience querying cleansing transforming and analyzing large volumes of data

• Experience in Canadian Banking considered an asset

• Knowledge of risk management environment RCM Standards and regulations and controls

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):