Compliance Quality Assurance Analyst II (US)

Work Location:

Hours:

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.

Line of Business:

Job Description:

Why Work with Us

At TD Bank US Compliance were on a mission to build a more resilient and scalable compliance risk management function. As part of our team youll play a key role in reshaping compliance structures and processes driving innovation at every level. Here each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program its about creating a culture of compliance that will cascade throughout the organization.

Department Overview

The Compliance Quality Assurance (US) team is responsible for providing independent quality assurance of compliance risk through the execution of reviews. These reviews assess whether Risk Owners and Oversight functions are complying with established policies standards and procedures. The Compliance Quality Assurance Analyst II (US) will execute these reviews.

This role will play a key role in providing strategic guidance that reshapes Compliances structures and processes. Were counted on to provide recommendations to enhance operational performance foster meaningful process improvements and ensure adherence to internal policies standards and procedures. Here each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused Compliance Quality Assurance function. This is not just about implementing a new program its about creating a culture of compliance that will cascade throughout the organization.

The above details are specific to the role which is outlined in the general description below. Please review Desired Skills & Experience below as you consider this opportunity.

Our team currently operates under a hybrid work model with employees expected to work in the office two days per week. Starting in November 2025 this expectation will increase to four days per week. Please note that due to limited office space the exact timing of this transition may vary depending on availability and individual circumstances

Job Description Summary:

The Compliance Testing Analyst II executes independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank as part of a team.

Depth & Scope:

• Experienced compliance professional providing guidance/assistance to clients on Compliance internal policy requirements
• Requires working professional level knowledge of the functional area and/or business areas supported and applicable regulatory requirements
• Independently performs tasks from end to end
• Focus is on short-term non-routine and more complex issues
• Manages ambiguity and applies judgement to identify troubleshoot and resolve issues

Education & Experience:

• 3 years of experience
• Undergraduate degree preferred

Desired Skills & Experience:

• CPA CIA CFE CRCM or equivalent a plus
• 4 years of internal audit testing and/or quality assurance experience
• Knowledge of financial institution laws/regulations strategies and risk management/compliance programs
• Possesses and demonstrates expertise in the advisory of policy change management project management and operations
• Skilled in using computer applications including MS Office suite with a focus on Excel and PowerPoint
• High personal and professional integrity and standards to advance TDs vision and protect the brand
• Strategic critical thinker: has good judgment achieves the right risk/reward balance
• Delivers on objectives focuses on what matters and can work across silos to build effective working relationships
• Clear and concise verbal and written communication skills

Customer Accountabilities:

• Supports execution of testing engagement work in accordance with established standards to achieve completion within target timelines
• Conducts skilled analytical research and analysis as part of the testing engagement and initiatives
• Works collaboratively with Compliance Testing team throughout the testing engagement
• Presents objective and independent opinion on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements
• Supports follow-up of findings raised from testing engagements in accordance with established standards
• Provides subject matter expertise and/or input to projects/initiatives as a representative for an area of the Compliance function
• Proactively identifies matters which require additional attention further escalation or review

Shareholder Accountabilities:

• Prioritizes and manages own workload to deliver quality results and meet assigned timelines
• Contributes to the analysis due diligence and implementation of initiatives within defined area of responsibility
• Adheres to internal policies standards and procedures methodologies and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve Compliance controls
• Understands the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality risk based engagement
• Clearly and concisely documents research as required to understand requirements specific to an engagement
• Keeps abreast of emerging trends/developments and changes to regulatory framework internal policies and standards
• Effectively supports execution of engagement activities
• Protects the interests of the organization identifies and manages risks and escalates non-standard high risk transactions/activities as necessary
• Provides analysis on issues and effectively communicates results to Compliance Testing management
• Maintains a culture of risk management and control supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

• Participates fully as a member of the team supports a positive work environment that promotes service to the business quality innovation and teamwork and promotes timely communication of issues/points of interest
• Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
• Keeps current on emerging trends/developments and grows knowledge of the business related tools and techniques
• Participates in personal performance management and development activities including cross training within own team
• Keeps 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
• Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training coaching and/or guidance as appropriate
• Contributes to a fair positive and equitable environment that supports a diverse workforce
• Acts as a brand champion for your business area/function and the bank both internally and/or externally

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading writing and comprehending instructions Continuous
• Adding subtracting multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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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 base salary and variable compensation/incentive awards (e.g. eligibility for cash and/or equity incentive awards generally through participation in an incentive plan) and several other key plans such as health and well-being benefits savings and retirement programs paid time off (including Vacation PTO Flex PTO and Holiday PTO) banking benefits and discounts career development and reward and recognition. 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.

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

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.