Senior Compliance Business Oversight Analyst, Transformation, Enablement & Customer Experience and Platforms & Technology (TECE-P) Compliance (3860)

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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

The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate in execution of the Enterprise Regulatory Compliance Management (RCM) Framework. This includes independently assessing the adequacy of adherence to and effectiveness of regulatory compliance management programs and controls in the business; delivering objective guidance and independent challenge to the business; proactively managing regulatory change; and providing trusted and reliable reporting advice and opinion to senior leadership and the Board on the state of regulatory compliance risks controls and outcomes.

As part of the larger Compliance Department the Transformation Enablement & Customer Experience and Platforms & Technology (TECE-P) Compliance group provides day-to-day Compliance support to various business lines across these corporate segments including Enterprise Digital Strategy & Innovation Enterprise Payments Sustainability & Corporate CitizenshipAnalytics Insights & Artificial Intelligence (AI2) Marketing & Customer Experience Enterprise Real Estate TD Procurement Protect Platform and Customer Platforms. TECE-P Compliance also support various programs for innovation initiatives including Chat GPT Knowledge Management Systems Innovation Risk Management Framework Proof of Concepts and promote the risk-based adoption of models as well as the team is expanding to enhance our support model for platforms established through the Next Evolution of Work (NEW).

As an oversight function Compliance is responsible for the independent oversight of compliance risk across TD globally; driving a consistent adaptable and effective culture across the organization; and assessing the adequacy of adherence to and effectiveness of TDs day-to-day Regulatory Compliance Management (RCM). The role of Compliance is to:

• Lead the identification and assessment of applicable Privacy banking Human Rights Accessibility laws and regulations regulatory guidelines voluntary codes and public commitments and TD policy and standards with respect to regulation of business conduct and market conduct.

• Perform independent inherent and residual Compliance risk assessments of the business segments.

• Develop and communicate enterprise governance and control methodologies related to RCM.

• Oversee and report on business unit regulatory issues/events and associated remediation.

• Perform independent oversight monitoring to evaluate and assess the adequacy and effectiveness of the 1st line of defense RCM controls.

• Develop and deliver specialized/ad hoc Compliance training as required.

• Provide independent challenge and objective guidance to the business units.

Job Description

Reporting to the Senior Manager TECE-P Compliance the primary responsibility of the Senior Compliance Business Oversight Analyst is to support the development and enhancement of both Risk Owner and Compliance RCM programs for the business units we support with a focus on Global Compliance Program initiatives including the Regulatory Compliance Management (RCM) Framework and Standards (collectively RCM Program) Enterprise Governance Risk and Control (EGRC) Program Conduct Risk Framework Compliance Governance and Assurance Policy reviews TD Accessibility Policy (Canada) and various initiatives. This role may provide Compliance oversight for several business lines within addition this role will support strategic Compliance program initiatives.

This is an exciting opportunity for individuals with expertise in the field of governance risk and controls. Specific accountabilities include the following:

• Support the ongoing evolution and execution of the Compliance RCM Program which includes developing and aligning engagement and interaction models within Compliance as well as first and second line control partners;

• Development of resource materials for Compliance Unit (CU) Executive and Senior Management support and implementation of enterprise initiatives;

• Substantive review of regulatory change intake and execution in accordance with RCM standards

• Conduct research and develop subject matter expertise related to innovation top and emerging risks regulatory trends and industry best practices;

• Perform a leadership role as a TECE-P Compliance relationship manager with the Centre(s) of Excellence (including Canadian Privacy FATCA and CRS Enterprise Conduct Risk Management Compliance Governance and Assurance programs);

• Act as a subject matter expert and provide objective guidance challenge and support on regulatory compliance related matters;

• Establish strong relationships with BU and corporate partners acting as a primary Compliance contact;

• Risk-based Compliance oversight of multiple projects and initiatives at a given time demonstrating superior prioritization and multitasking skills and perform other forms of pre-review/approval (e.g. Proof of Concept);

• Report on existing and emerging regulatory compliance issues and risks to Compliance and BU management/executives;

Job Requirements

• Knowledge of relevant Canadian legislation regulations and industry standards;

• Experience in reviewing and assessing regulatory requirements;

• Ability to work independently think critically and make decisions;

• Ability to manage high volumes of work in a fast-paced environment and manage multiple priorities;

• Highly organized and flexible in prioritizing various work demands;

• Able to work collaborative and as part of a team;

• Ability to influence people and deal with conflicting points of view

• Ability to deal with all levels of staff within the enterprise

• Strong verbal and written communication skills

• Well-developed organizational awareness and business acumen

• Strong relationship management skills

• Able to accept and manage conflicting points of view and work collaboratively

• Ability to think out of the box to effect creative and responsive solutions

• Professional experience in a governance related field (e.g. Compliance Risk Management AML Legal Audit)

Education and Accreditation

• Undergraduate degree

• Relevant professional designations and/or certifications as required

• 5 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 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):