Senior Governance & Control Analyst

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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:

Department Overview

TD Securities (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to oversee the design implementation maintenance and monitoring of effective internal controls to ensure business activities remain within TD Banks risk appetite and comply with regulatory requirements.

The team is responsible for overseeing the timely and consistent implementation across all TDS businesses of all risk control and governance programs initiatives policies and strategic business projects. The TDS G&C team acts as the primary contact for the TDS businesses working closely with subject matter experts from each TDS business line. The team works together with the business leaders to implement Enterprise and TDS policies frameworks methodologies standards and practices and are key members of enterprise projects / programs requiring TDS representation.

Job Description

Reporting to the Senior Manager TDS G&C the primary role of the Senior Analyst TDS G&C is to support TDS businesses in adhering to applicable Financial Crimes Risk Management (FCRM) and fraud requirements managing this risk and ensuring effective FCRM and fraud controls in place. This role works in partnership with other G&C teams TDS businesses and risk partners to contribute to the ongoing management of FCRM and fraud risk.

As part of the key accountabilities of the role the individual will be expected to:

• Support the execution of the AML and Anti-Bribery and Corruption (ABAC) Risk assessments including provision of data inherent risk documentation and control documentation. This includes the automation of data input.

• Execute testing of key controls within established deadlines applying TD testing methodology.

• Ensure that exceptions are appropriately analyzed reported and tracked to resolution. Further assist TDS Businesses in developing and executing action/remediation plans to address control gaps as well as the root cause themes.

• Build and maintain constructive relationships with FCRM and fraud risk partners as well as other key stakeholders to ensure FCRM and fraud requirements are understood and met.

• Identify and escalate (as required) key FCRM and fraud issues and risks to the Manager.

• Assist with ad-hoc governance risk management and control projects or tasks of varying complexities within established deadlines.

• Support G&C executive reporting on the overall status of programs.

• Contribute to and promote positive working relationships by effectively communicating and regularly sharing information issues/points of interest learnings and knowledge with the team.

Job Requirements

• University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.

• Minimum 2 years of AML Risk and/or Audit experience (financial services industry preferred).

• Prior audit experience quality control testing experience or familiarity with TD Bank testing methodology.

• Strong interpersonal and relationship management skills.

• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.

• Effective time management multi-tasking and organizational skills to meet tight timeframes.

• Well-developed written and verbal communication skills as well as confident presentation and facilitation skills.

• Ability to take initiative and work independently and in a team environment.

Who We Are:

TD Securities offers a wide range of capital markets products and services to corporate government and institutional clients who choose us for our innovation execution and experience. With more than 6500 professionals operating out of 40 cities across the globe we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues providing trusted advice and industry-leading insight extending access to global markets and delivering integrated transaction banking 2023 we acquired Cowen Inc. offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise while growing our strong diversified investment bank. We are growth-oriented people-focused and community-minded. As a team we work to deliver value for our clients every day.

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):